Securities Offerings & Regulation
The McLane Middleton Securities team provides advice to clients throughout New England on capital-raising transactions and investments.
Our attorneys bring extensive knowledge and experience to every matter in the following areas:
- Private Placements: Counsel to issuers in private placements of equity, debt, and hybrid securities, ensuring compliance with exemptions from SEC and blue sky laws and regulations
- Venture Capital Financings: Representation of angel, venture capital, and private equity investors, utilizing both bespoke transaction documents and industry-recognized forms
- Recapitalizations and Financial Restructurings: Advice on exchange of debt for equity and issuances of debt and equity in connection with strategic investments, as well as expansion, succession planning, and financial restructuring by distressed companies
- Compliance, Regulation, and Corporate Governance: Day-to-day securities law counseling matters, including legal advice for boards of directors and management on duties and responsibilities under federal and blue sky securities laws
- Employee Stock Options and Grants: Design, implementation, and compliance for equity-based compensation plans
- Mergers and Acquisitions Transactions: Transaction structuring, including issuance of debt and equity to finance M&A activity
- Risk Management and Litigation: Counsel and representation of issuers or investors in any disputes associated with securities offerings or transactions
