Capital Markets & Securities

CAPITAL MARKETS & SECURITIES

Our Capital Markets team works directly with emerging growth companies and other issuers on their listings and public and private offerings. We also provide support to underwriters and broker-dealers in compliance and other market activities.

Our Capital Markets team’s depth of experience and knowledge of the complex capital market arena allows us to help our clients meet their financing objectives efficiently. Our team frequently communicates with the SEC, stock exchanges, FINRA, and other market participants so that we can best advise our clients as they navigate dynamic marketplaces. We represent a variety of emerging growth companies, issuers, underwriters, and placement agents.

Over the years, we have advised on numerous initial public offerings and stock exchange listings, representing companies and underwriters across a variety of industries. Our team integrates knowledge of securities regulations with corporate governance in the early stages of the IPO process, so that our clients are prepared for public company disclosure and governance requirements. We also have experience in advising on the formation of Special Purpose Acquisition Companies (SPACs). Our Capital Markets, and Mergers & Acquisitions teams work seamlessly with clients to assist them from the start of their SPAC formation through the de-SPAC process.

Our Capital Markets team advises boards and senior management on pre- and post-IPO corporate governance matters, including board structure and operations, executive and director compensation, proxy process, shareholder engagement, and anti-takeover defenses. We assist clients with anticipating potential structuring and regulatory issues, managing intercompany growth and relationships, and help them meet the challenges of the day-to-day corporate legal matters that arise as their companies grow and evolve.

Our team expertise includes reporting and compliance under the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley Act, and the Dodd-Frank Act, as well as related SEC rules and stock exchange listing requirements. This is critical to a reporting company’s ability to comply with regulatory authorities, raise capital, obtain shareholder approval or restructure outstanding derivative securities when needed. Our team is adept at working with our reporting company clients to quickly address and resolve matters related to the Securities and Exchange Commission, Financial Industry Regulatory Authority, various U.S. national stock exchanges, and the OTC Markets Group.

The Securities Law and Compliance team works closely with other practice  groups to advise public and private companies, management, boards of directors, and board committees on a full range of matters such as proxy and annual meeting processes, responding to shareholder proposals, assessing financial, operational, and compliance risks under an internal audit functions, creating board committees, and environmental, social, and governance (ESG) reporting.

Our expertise in securities regulations and 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)
• Beneficial ownership and insider filings (Forms 3, 4 and 5, Schedules 13G and 13D)
• Developing insider trading policies and other corporate governance policies
• Advising on the legal impacts of regulatory reform

Contact  Info@cronelawgroup.com for more information on how we can help you achieve your Capital Markets related objectives.

Regions:                       

The Americas – Asia Pacific – EMEA

Industries:  Biopharma. Chemicals, Education, Energy, Financial Services, FinTech, Food & Beverage, Industrials, Mining & Metals, Recreation, Retail & Consumer, Technology.

Transactions: click here for transactions