Corporate Securities

Greenspoon Marder’s Securities Practice Group handles public and private offerings on behalf of issuers, underwriters, private investment firms and investment advisory firms. These offerings have ranged in size from start-up ventures to entities engaged in a broad spectrum of business activities.

Our attorneys structure:

  • Private/Public Offerings, Debt and Equity Securities
  • Initial/Secondary Public Offerings
  • Shelf Registrations
  • Rule 144A Transactions
  • Management/Leveraged Buy-Outs
  • Spin-offs
  • Tender Offers
  • Issuer Tenders
  • Buy-backs
  • Conduit Financing
  • De-registrations
  • Going-Private Transactions

We also assist clients with registration of business combination transactions, institutional private placements, and commercial paper programs, as well as registration of employee benefit plans, dividend reinvestments, stock purchase plans, and legal compliance and enforcement matters.

Specifically, Greenspoon Marder offers the following services:

Private Financing

  • Financings structured to avoid the offer and sale of a security
  • Private placements and other offerings of securities exempt from registration
  • Debentures and other redeemable debt/equity financing

Public Offering

Public offerings remain a primary source of capital and an important threshold for many emerging businesses. With experience ranging from initial public offerings of common stock to "roll ups" and other complex offerings, we provide complete legal representation to issuers or underwriters in a public offering of securities.  Services include:

  • Preparation and filing of a registration statement
  • Preparation of underwriting documentation and compliance with NASD corporation finance requirements
  • "Blue Sky" law analysis and compliance

Our attorneys also advise on day-to-day issues, including:

  • Reporting under the Securities Exchange Act of 1934, as amended
  • Federal, state and NASD regulation of broker-dealers
  • Federal and state regulation of investment companies and investment advisors
  • Re-sales of restricted securities

Because Greenspoon Marder is a full-service law firm, the Corporate Securities Group may also draw upon the expertise of the Banking,BankruptcyCorporate & BusinessGovernment RelationsFinance & TransactionsLobbyingAdministrative, and Taxation Practice Groups, depending on client needs.