Our securities lawyers regularly counsel clients on equity, debt and hybrid issuances, securities law compliance, and corporate governance matters. Securities laws are complicated, and making the right decisions and taking the correct steps in dealing with them is critical. Our experienced securities counsel advises emerging growth companies and established organizations of all sizes on all aspects of the Securities Exchange Act of 1934, including procedural and compliance matters. Roth Firm attorneys are not just engaged in capital markets; we are leaders in designing innovative solutions to our clients’ capital requirements. We routinely represent domestic and international companies in connection with private placements, SEC filings, subscription agreements, private placements memorandums, proxy voting, annual shareholder meetings, equity incentive plans and issuances, 409a valuations, swap options, and more.
Roth Firm’s securities attorneys proactively help clients navigate complex securities issues. In contrast to other firms, our securities lawyers not only make sure our clients stay in compliance with federal and state securities regulations, but make it a point to educate directors and company leadership on corporate governance and disclosure requirements as well.
Our knowledgeable securities team employs a multifaceted and time-tested approach to ensure that conditions to exemptions from U.S. securities registration requirements are met, including but not limited to, procuring appropriate representations and warranties, drafting custom questionnaires for investors to complete, and making SEC and state blue sky filings and notices. In addition to our securities compliance and related corporate governance services, Roth Firm also advises clients on broker-dealer registration matters and issues involving foreign investment in U.S. companies.