Securities

The Firm’s lawyers have experience in a wide range of federal securities matters arising under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940 and the Investment Company Act of 1940. These federal securities laws include the relevant provisions of the Sarbanes-Oxley, Dodd-Frank and JOBS Acts. The Firm represents U.S. and non-U.S. companies and investors in various matters relating to securities laws, including registered public offerings and private placements under Rule 144A, Regulation D and Regulation S; tender offers; filings with the SEC, the various stock exchanges and FINRA of required registration, reporting and compliance forms; and broker-dealer and investment adviser matters, including compliance and registration issues. We also regularly address federal and state securities laws matters as part of our general Corporate practice; see in particular the headings General Counsel and Corporate Advisory, Equity Raising, Investment Funds, and Mergers and Acquisitions.