Capital Markets and Public Company Advisory

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.