Crone Law Group | Capital Markets and Securities
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Capital Markets and Securities

Capital Markets & Securities

We pride ourselves on being ahead of the curve in the capital markets arena. We communicate frequently with the staff of the Division of Corporation Finance of the SEC about new policy matters and the latest interpretive guidance to help our clients meet their SEC registration and financing objectives with the greatest possible speed and efficiency. We are known for adding value to our clients beyond legal services by proactively linking them with our extensive financial sector contacts to facilitate capital formation.

We specialize in representing emerging growth companies, underwriters and placement agents in:

  • Underwritten public offerings (IPOs and follow-on offerings, including shelf registrations and shelf takedowns)
  • Registered direct offerings
  • At-the-market offerings
  • Private placements (equity and convertible debt)
  • Reverse mergers and self-filings coupled with financings
  • Public offerings under SEC Regulation A, as soon to be amended and expanded
  • Obtaining stock exchange listings for qualified issuers
  • Negotiated transactions, tender offers, proxy contests, and related Hart-Scott-Rodino antitrust filings.
  • Securities exchange act of 1934 compliance &¬†regulatory reporting

We are highly specialized in Exchange Act reporting and compliance, which is critical to a reporting company’s ability to raise capital, obtain shareholder approval or restructure outstanding derivative securities when needed. We use our deep expertise in Exchange Act reporting and compliance to help our reporting company clients avoid or quickly resolve SEC comments to Exchange Act reports, proxy statements and tender offer statements.

Our expertise in Exchange Act compliance includes:

  • Exchange Act registration statements (Forms 10 and 8-A)
  • Annual and quarterly reports (Forms 10-K and 10-Q)
  • Current reports (Form 8-K)
  • Proxy statements/proxy contests (Schedule 14A)
  • Information statements (Schedule 14C)
  • Tender offer statements (Schedule TO)
  • Insider filings (Forms 3, 4 and 5, Schedules 13G and 13D)