Securities Law

The attorneys in Barrett McNagny's Securities Group are committed to providing our clients with trusted legal advice as they and their businesses change. To meet our clients' continuously changing needs, the Securities Group's experience covers a broad range of state and federal securities law matters. Our securities lawyers are experienced in advising clients of all sizes, from small start-up firms to large publicly traded companies. In addition, our attorneys not only have significant experience in securities transactions but also possess experience in the other areas of law that usually affect a securities transaction, such as tax and general corporate law, enabling our attorneys to analyze securities transactions from every angle.

Practice Highlights

Our attorneys regularly represent both private and publicly held companies in all aspects of compliance with securities laws, including private placement transactions and public financings. We regularly advise our clients about the drafting of such instruments as private placement memoranda and offering prospectuses, as well as the availability and use of the various SEC registration statement forms, such as Forms S-1, S-3, and S-4. We also provide counseling involving regulatory compliance with the reporting requirements under the Securities Act of 1934, including proxy solicitation and regulation, annual shareholder report preparation, SEC periodic reporting according to Forms 10-K, 10-Q, 8-K, and others. We also assist our clients in complying with insider trading regulations, corporate governance requirements, and Sarbanes-Oxley compliance, and advise our clients regarding matters relating to director and officer fiduciary duties, liability, and indemnification.

In addition to compliance, we have assisted numerous clients with the issuance of debt and equity instruments, including initial public offerings and other offerings involving senior and subordinated debt and equity hybrids. We also have assisted clients with mergers and acquisitions of publicly traded companies. Barrett McNagny's securities lawyers advise and assist companies seeking to qualify their securities for quotation in the NASDAQ system and for listing on national or regional stock exchanges. The firm also prepares stock options, stock appreciation, bonuses, stock purchases, and other employee compensation plans for our clients.

Our Experience

The attorneys in our Securities Group routinely assist issuers, investment banks, and investors in private placements of securities both in transactions involving Regulations D and S, Rule 144A, and various state blue sky laws. We work with our client's accountants, investment bankers, and other professionals in the development of financial strategies to achieve the best financial and business advantages for our clients. In addition, our attorneys are familiar with a wide variety of alternative types of financing resources.

Barrett McNagny's Securities Group attorneys are also experienced in all aspects of securities litigation, such as investigations and proceedings before the SEC's Enforcement Division and in civil securities litigation.

Other areas of securities proficiency include assisting our clients with the use of limited liability companies in real estate development and investment, corporate joint ventures, and other operations and advising broker-dealers and investment advisers regarding state and federal law requirements.

Contact Our Team

Contact a member of our Securities team by clicking on their picture below.