Securities Law

Legal services related to securities regulation very often require representation of publicly held corporations, the number of which has increased in New England during the past several years.  However, knowledge and application of securities law not at all limited to representing publicly held companies, as there is a far larger number of private companies to which securities law apply.  Closely held corporations seeking to raise equity or debt, employees of publicly held corporations, and professionals in the securities industry, brokers, dealers, and investment advisors require the assistance of attorneys experienced in the complexities of securities law.

The McLane Law Firm has developed in-depth experience in securities law that fits the multi-faceted needs of businesses and individuals throughout New England.  The capabilities of our firm are among the most extensive of any law firm in New England.  These services include:

Public Offerings:  The firm has served as issuer’s counsel in a number of public stock offerings registered with the Securities and Exchange Commission.  These offerings have included initial public offerings, secondary offerings, shelf registrations, and offerings in mergers and acquisitions.  In connection with state securities (blue sky) laws, we have performed the exemption work for the public offerings.

Private Offerings:  We serve as issuer’s counsel in offerings exempt from the SEC and state registration.  Our services include writing offering circulars and offering memoranda and advising and managing state registration and exemption of federally exempt offerings.  We regularly address state exemption issues in our representation of start-up companies and have developed working relationships with a number of New England blue sky administrators.

1934 Act Services:  For our clients whose securities are registered under the Securities Exchange Act of 1934, the firm organizes and prepares proxy statements and reviews ’34 Act reports.  We are also regularly counsel officers and directors of client and non-client companies with respect to their securities transaction reporting responsibilities and trading restrictions, including those under Rule 10b-5, the short-swing and beneficial ownership reporting rules, and Rule 144.

Invest Advisor and Broker/Dealer Representation:  We represent registered broker/dealers and investment advisors and their representatives.  Our services include federal, state, and regulatory organization registration of firms and their representatives.

Securities Litigation Services:  Our representation includes national securities brokerage firms doing business in New Hampshire and New Hampshire brokerage firms in the state and federal courts and in arbitration before the FINRA and the American Arbitration Association.  Our securities litigation has included claims related to churning, unsuitability, improper trading practices and violations of margin requirements, and RICO violations.  We also represent broker/dealer and broker representatives in administrative proceedings before state administrative agencies

For further information, contact our Securities Practice Group Attorneys at (603) 625-6464.

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