Securities Law

Securities Counsel to Public and Private Companies

We provide clients with securities law counsel in conjunction with our transactional corporate law practice. Founding attorney Bob Rapfogel has experience acting as outside counsel for private and public companies and as in-house counsel for a publicly-traded corporation addressing a wide variety of securities law matters.

Our Securities Practice Includes:

  • Creation of capital structures and other transactions that involve the issuance or transfer of equity, debt or other securities;
  • Private placement transactions (including seed, friends and family, angel, venture capital and private equity financings), and related matters such as “accredited investor” documentation and private placement memoranda disclosures;
  • Federal and state securities filings and disclosure requirements, including periodic Exchange Act reporting, public company disclosure controls and procedures, securities registrations, stock exchange listings, and matters related to stockholder meetings and proxy solicitations; and
  • Insider trading compliance practices and policies, Section 16 beneficial ownership reporting, Rule 10b5-1 trading plans, and other securities law matters related to insiders’ ownership of an issuer’s stock, options and other securities.

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