Securities Regulation

We have a strong history of guiding publicly-traded companies, financial institutions and investment professionals through the intricacies of complex (and sometimes competing) laws, rules, regulations and stakeholder expectations.

In this age of high scrutiny of market participants and their activities, we provide our clients with sound advice to successfully maneuver through an ever-changing legal landscape. Bricker Graydon attorneys regularly assist clients with their reporting obligations by drafting and reviewing annual, quarterly and current reports, proxy statements, trading, ownership and beneficial holding reports, press releases, and investor presentations, as well as complex transaction-based filings in connection with significant events such as mergers, acquisitions, divestitures, investments, financings and other transactions. Our team also provides guidance on compliance with the requirements of stock exchanges, other self-regulatory organizations and regulatory authorities.

Bricker Graydon’s attorneys have a long track record helping clients in heavily regulated industries to manage their operations and navigate their disclosure obligations in the face of competing legal and regulatory schemes with multiple regulators including the Securities and Exchange Commission, state securities commissions, banking regulators, Financial Industry Regulatory Authority, Federal Trade Commission, and the Federal Communications Commission.  We also assist clients in their efforts to satisfy multiple stakeholders such as investors, employees, directors, customers and community leaders in addition to increasing demands by parties such as shareholder activists, public pension funds, proxy advisors, institutional investors, securities analysts, social media influencers and the press.

Our industry tested professionals help clients meet their disclosure and filing obligations while advancing their business objectives through the use of practical and efficient solutions. Our clients know where to turn for advice they can trust.

Services Include:

• Guidance on federal and state securities law compliance
• Representation in equity and debt financings
• Assistance with public offerings and private placements
• Counsel for tender offers, takeovers, and syndications
• Advising venture capital firms and private equity funds on acquisitions and investments
• Structuring capital raising plans for emerging, growing, and established companies
• Support for recapitalizations, senior and subordinated debt, preferred stock, and mezzanine financing
• Representation of private companies in founder buyouts and shareholder transactions
• Counsel for financial institutions seeking capital through private stock offerings
• Advice for companies going public or returning to private ownership
• Assistance with executive, director, and employee equity compensation plans
• Preparation and review of securities filings, including:
  • Annual, quarterly, and current reports
  • Proxy statements
  • Ownership and beneficial holding disclosures
  • Trading and insider reporting documents
  • Press releases and investor presentations
  • Transaction related filings for mergers, acquisitions, divestitures, investments, and financings
• Regulatory compliance guidance for stock exchange rules and self regulatory organizations
• Support for companies in heavily regulated industries managing multiple regulatory schemes
• Assistance with stakeholder communication involving investors, employees, directors, pension funds, proxy advisors, analysts, and community leaders

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