Securities

At Phillips Lytle, we advise our clients on the requirements of state and federal securities laws, and the application of those laws to domestic and international securities transactions. This experience extends to representing clients in initial public offerings, secondary offerings, registered debt offerings and other public and private securities issuances, as well as in corporate transactions that are affected by the requirements of securities laws. Our Securities attorneys provide advice on an array of securities law issues:

  • Complying with registration and disclosure requirements of the federal securities laws in connection with securities offerings, as well as assisting with related stock exchange listing requirements and any arrangements with underwriters
  • Structuring securities offerings in venture capital transactions, mergers and acquisitions and other contexts to comply with “private placement” and other exemptions from registration under state and federal securities laws
  • Assisting publicly held companies with an array of disclosure and compliance issues they face, including:
    • Public reporting under the Securities Exchange Act of 1934
    • Corporate governance matters, including stock exchange requirements, implementing emerging best practices and complying with the Sarbanes-Oxley Act of 2002
    • Insider trading and Section 16 ownership reporting
    • Shareholder meetings and other shareholder relations issues, including proxy statements and proxy solicitations
  • Preparing stock option plans, securities-based employee benefit plans, warrants and other derivative securities, and advising clients on issues as related to those plans and securities
  • Advising clients about the requirements of the Investment Company Act of 1940, and qualifying for various exemptions from it
  • Addressing broker-dealer and investment advisor registration and compliance issues.
Securities