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Trusted and proven counsel for your complex deal and disclosure issues

Our integrated Capital Markets and Public Company Advisory platform advises issuers and underwriters of securities, boards of directors and management teams of public companies, helping navigate complex regulatory landscapes and evolving market conditions to achieve financing objectives and satisfy compliance obligations.

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Market Edge

Our blog provides timely insights and market trends for issuers and underwriters, public company boards and management teams, enabling you to stay apprised of current developments and best practices in the capital markets and corporate governance.

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DLA Piper’s Capital Markets and Public Company Advisory group supports issuers and underwriters of equity and debt securities in achieving their strategic priorities. We combine practical advice with up-to-date insights to help execute capital-raising deals on optimal terms.

We serve as trusted advisors to management teams, boards of directors, and special committees of more than 100 public companies, helping them navigate a complex regulatory and governance environment. We help issuers prepare for and comply with emerging Securities and Exchange Commission (SEC), Nasdaq, and New York Stock Exchange (NYSE) requirements and pursue expansion, financing, M&A, and other business strategies in creative ways.

“The DLA Piper team instills confidence in us, provides outstanding legal services and consistently delivers positive results.”

Legal 500

We advise on all aspects of compliance with US securities laws and the listing requirements of major US exchanges while providing advice on day-to-day matters, crises, and special situations. Our services range from supporting board and committee meetings and other traditional corporate law matters to counseling clients on complex securities and governance matters. These include providing disclosure advice in connection with the preparation and filing of periodic reports under the Exchange Act such as Forms 10-K, 10-Q, 8-K, 20-F, 6-K, and proxy statements; establishing procedures for managing compliance with insider trading rules, Regulation FD, and other regulatory requirements; complying with NASDAQ and NYSE listing standards; advising on financial reporting, non-GAAP disclosures, audit matters, and Sarbanes-Oxley compliance; and guiding foreign private issuers through reporting requirements and governance matters.

Our scalable platform delivers seamlessly executed solutions to address your wide-ranging legal needs. Our dedicated team is equipped with in-depth knowledge of SEC reporting, gained from experience at the SEC, in-house roles, and the private sector. We also address corporate and fiduciary matters, litigation, regulatory compliance, executive compensation, and employee benefits.

With 90+ offices across 40 countries worldwide, we can help execute deals anywhere in the world you do business. We focus on cross-border capital markets linking the New York capital markets with issuers across the globe, with dedicated resources in Asia, Europe, Latin America, and the Middle East. We make it possible for US companies to offer securities globally and for non-US companies to offer securities in the US.

Our multidisciplinary teams can seamlessly execute transactions across key industries, leveraging in-depth knowledge and experience coupled with an understanding of sectors including technology (eg, AI and cybersecurity); life sciences (eg, medical device and medical technology); consumer goods, food, and retail (eg, ecommerce and franchises); and financial services and insurance (eg, digital assets and fintech). Our Capital Markets lawyers lead transactions and coordinate resources from our Regulatory, Intellectual Property, Cybersecurity and Data Privacy, Tax, and Benefits and Compensation teams, among others.

We help execute deals across venture capital, equity capital markets (eg, crossovers, IPOs, dual listings, ELOCs, follow-ons/secondaries, CMPOs, PIPEs, registered directs, and ATMs including derivative overlay, preferred stock, warrants, pre-funded warrants, and units), convertible notes, debt capital markets (investment grade and high yield), M&A, activism advisory, go-private transactions, and alternative public offerings (eg, de-SPACs, reverse mergers, and direct listings).

Our SPAC Formation and De-SPAC Advisory practice advises on SPAC transactions from the initial formation by sponsors through the IPO process to the subsequent de-SPAC business combination, followed by public company representation of the de-SPACed companies.

Resources

Events

Deals

Initial Public Offering

Frontview REIT
Initial Public Offering*
US$251 million

September 2024

PIPE

Columbus McKinnon
PIPE Offering
US$800 million

February 2025

ATM

Jasper Therapeutics
At-the-market Offering**
US$100 million

March 2025

Convertible Notes

CleanSpark
Convertible Notes Offering*
US$650 million

December 2024

Digital Assets / FIG

Rumble x Tether
PIPE and Tender Offer*
US$775 million

February 2025

Technology

Intuitive Machines
Equity Offering*
US$115 million

December 2024

Life Sciences

Butterfly Network
Equity Offering*
US$86.9 million

January 2025

Cross-Border

Zealand Pharma
Equity Offering
US$1 billion

June 2024

* Underwriter / Placement Agent Representation
** Sales Agent Representation

Awards

Contacts

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