Securities Law Counsel
Initial Public Offering (IPO) and Outside Corporate Counsel Services
Since 1977, Snow Becker Krauss (SBK) has advised clients concerning federal, state and foreign securities laws and the tax implications of transactions involving the issuance of securities in a variety of business sectors, including:
- Manufacturing
- Service industries
- Technology and communications
- Real estate
- Oil and gas
SBK’s Corporate and Securities group has a strong corporate finance component and regularly represents issuers in connection with public and private offerings and other capital raising activities. A significant part of our practice involves the representation of public entities with respect to their periodic SEC reporting and compliance obligations. Further, we represent issuers, underwriters and other financial intermediaries in structuring and executing securities transactions and disclosure matters. We also work on matters involving securities regulators and securities exchanges in a variety of markets.
Our securities law practice provides a vital service to our business clients who are conducting an initial public offering (IPO) and to established publicly traded corporations who are seeking experienced outside counsel.
An Established Reputation for Assisting Corporations with Transactions Requiring Capital Formation
The securities law team at SBK represents both issuers and underwriters in private placement and public securities offerings. Our relationships in New York City, the tri-state area and across the country enable us to assist our clients in accessing the financial and capital markets and raising capital through creative and strategically sound means, as well as putting our clients in contact with potential sources of equity investment or other financing. We routinely advise clients on modern techniques for raising capital, including PIPES, reverse mergers and special purpose acquisition companies.
Outside Counsel for Publicly Traded Companies
Our experience and knowledge enable us to act as outside general counsel and to effectively advise public companies on their obligations under federal and state law, such as:
- Quarterly and annual SEC reporting, compliance and proxy statement requirements
- Corporate governance/Sarbanes Oxley
- Securities and Exchange Act regulations governing secondary trading in stocks and bonds
- Financial Industry Regulatory Authority (FINRA), New York Stock Exchange (NYSE) and National Association of Securities Dealers Automated Quotation System (NASDAQ) rules and regulations
- Insider trading and public disclosure rules
We also represent clients involved in securities litigation.
Attorneys
