Saltzman Mugan Dushoff, PLLC’s Securities Law Practice Group are experts in representing issuers and investors in public offerings, private placements, and other exempt offerings of equity and debt securities; periodic reporting and compliance under the Securities Exchange Act of 1934; proxy solicitations; securities-based takeover defense strategies; tender offers; and dealings with the Securities and Exchange Commission and state securities regulatory authorities. Our Practice Group has further specialized expertise, including prior employment with regulatory authorities, with securities-related activities of licensed financial institutions, where the regulatory compliance and jurisdictional mazes can be even more complex.
With our securities law knowledge and experience, we are well equipped to assist clients on a wide range of projects and issues, such as:
- Threshold questions on whether a particular product or instrument is a “security” and what that means for a client
- How to structure a securities offering without the need for SEC registration
- How to publicize a securities offering (and how not to)
- When and how equity ownership of public companies must be reported
- Equity-based compensation plans
- Transfers of restricted securities and other issues under SEC Rule 144
- Going private transactions (and how to stay private)
- Perhaps most importantly for clients who are new to this subject matter, pitfalls to avoid, and what to do if you are already in one