Securities

Brouse is recognized for its sophisticated securities law practice, representing public and private companies, placement agents, underwriters and issuers and private equity funds in private equity investments. Members of the firm’s securities practice assist clients with public and private offerings of securities, regulatory compliance and reporting and proxy solicitations before the Securities and Exchange Commission as well as state securities regulators.

We bring a wealth of experience on public securities transactions, including:

• Initial public offerings   
• IPO planning
• Underwritten offerings
• “At the Market” offerings
• Tender offers
• Exchange offerings
• Mutual to stock conversions
• Mezzanine lending transactions
• Hybrid securities for banks, energy and insurance
• Capital markets transactions in the context of mergers and acquisitions

In addition to our experience on public securities matters, we bring a wealth of knowledge gained advising on private securities transactions ranging from:

• Private placements
• Exchange offerings
• Redemption transactions
• Application of exemptions from registration in the M&A context 

Our attorneys are also accustomed to working with management and general counsels in connection with advising boards on SEC periodic reporting and proxy statements, Section 16 compliance and beneficial ownership filings, and listing standards for NYSE and NASDAQ. 

We also have experience advising investment advisers, broker-dealers, mutual funds and hedge funds on securities compliance.  Our experience includes advising clients on registration filings, Form ADV, policy manual drafting, steps towards achieving satisfactory compliance upon registration status, and responding to examinations with state and federal regulators.