Public Company Securities Offerings & Compliance

At Maslon, our Corporate & Securities group advises publicly owned, start-up, venture-stage, and emerging growth companies, as well as underwriters and placement agents, in connection with a myriad of private placements and public securities offerings. These transactions include IPO's and other underwritten public offerings, registered direct offerings, PIPE (private investment in public equity) financings, and reverse merger transactions, as well as venture capital, private equity, and retail private placements. We also regularly help our clients successfully maneuver the ever-changing legal landscape of securities compliance.

We enjoy working with companies of all size and in all industries. We're particularly good at providing companies with direct and practical advice, drawing on our extensive experience to anticipate problems and devise solutions to complex internal control and disclosure issues, always mindful of costs.

Private Placements
We represent both public and private companies in private placements of securities that are exempt from the registration requirements of the SEC. We regularly assist companies seeking to obtain capital through the offer and sale of common and preferred stock, "units" comprised of stock and warrants, convertible debt and straight debt. Our clients raise capital from angel investors, retail investors, venture capital funds, hedge funds and other institutional investors, in offerings conducted with the assistance of placement agents, venture or other institution-led rounds, PIPE financings, and A/B exchange offerings of debt securities. We also represent individual and institutional investors that participate in such offerings.

Whether you are pursuing a capital infusion through an investment banking firm, require an extensive private-placement memorandum to serve as a marketing document and disclosure vehicle, or are making an exclusive offering to accredited investors while in early financing rounds—our seasoned, pragmatic lawyers will carefully guide you through the process. We'll customize our services to your specific objectives.

Public Offerings
Skilled, practical, proactive, and cost-effective, Maslon’s securities attorneys advise issuers, underwriters and investors in connection with public offerings of equity and debt securities, including initial public offerings (IPOs), follow-on primary offerings, secondary offerings by selling stockholders, PIPE financings, A/B exchange offerings, merger and acquisition transactions (including reverse mergers), tender offers and exchange offers, and securities offerings under benefit plans.

We pride ourselves on our ability to identify lurking problems before they become roadblocks to your successful public offering. In addition, we can help you prepare for a lucrative IPO in the years ahead by avoiding pitfalls hidden in poorly structured private financing transactions.

Public Company Securities Compliance
Public companies of all sizes—including established reporting companies and newly public companies formed from IPOs and shell mergers—count on Maslon for comprehensive counsel to help them successfully navigate the ever-changing legal landscape of securities compliance.

Combining the deep experience and sophisticated know-how of larger law firms with the agility, efficiency and value of a smaller firm, we help you develop state-of-the-art governance and compliance policies and procedures that keep you in step with the SEC's complex reporting obligations, the requirements of Sarbanes-Oxley, the JOBS Act, and other securities rules and regulations. We are well versed at assisting public companies in obtaining listings on NASDAQ and the New York Stock Exchange and in maintaining compliance with the listing requirements of these exchanges. We also help our clients manage the complex relationship between such rules and their stock-based compensation plans, executive compensation plans, and employment arrangements.

In addition, we can guide you through the intricacies of dealing with the SEC and stock exchanges and assist in critical internal investigations with the aid of our exceptional Litigation Group.