Business Law

Corporate Finance/Securities

The Corporate Finance/Securities Team at Quarles & Brady has both the detailed legal, regulatory, and industry knowledge and the broad practical experience that clients need to make sound choices.

Knowledge and experience are fundamental requirements for providing effective legal counsel. As a group, our attorneys have extensive experience in corporate and securities matters; as individuals, we have in-depth knowledge of corporate law and complex securities laws and regulations.

Our Clients

  • Fortune 500 companies
  • public companies in varying sectors and industries
  • banks, savings & loans
  • public utilities and holding companies
  • privately held businesses
  • investment bankers
  • venture capitalists
  • private equity funds
  • finance companies
  • mutual funds
  • brokers/dealers
  • investment advisors
  • municipalities

Our Practice
The Corporate Finance/Securities Team provides legal counsel to issuers, underwriters, buyers, and sellers in the full range of corporate financing transactions, business combinations, and regulatory compliance, including:

  • corporate governance, including compliance advice under state and federal laws (such as the Sarbanes-Oxley Act of 2002) and regulatory (SEC/NYSE/NASDAQ) advice to directors regarding fiduciary duties;
  • mutual fund transactions and activities, including regulatory approvals, Blue Sky compliance, and fund operation;
  • public offerings of equity, debt, and hybrid securities in IPOs, subsequent offerings, and offerings under shelf registration statements ;
  • employee stock plans, including the creation, SEC registration, and operation of employee and director compensation plans involving employer stock;
  • exempt offerings, including exemptions from registration and preparation of disclosure documents in private placements, and Rule 144A offerings;
  • mergers, acquisitions, and divestitures (in conjunction with our Mergers & Acquisitions Team);
  • proxy solicitations, including proxy regulation, compliance and assistance in proxy contests;
  • insider transactions, including restricted securities, Section 16 reporting, and avoidance of short-swing trading and Rule 10b-5 liability and other regulatory compliance;
  • takeovers, including offense, defense, and SEC regulation;
  • SEC reporting and advice regarding disclosure obligations in formal and informal disclosure; and
  • representation of brokers/dealers and investment advisors, including organization, licensing, regulatory compliance, and administration.
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