Practice Areas & Industries: Fredrikson & Byron, P.A.

Practice/Industry Group Overview

Representing Publicly-Owned & Growth Companies, Investors, and Underwriters

Fredrikson & Byron's Securities group advises publicly-owned, venture stage and start-up clients in finance and securities transactions in the U.S. and abroad. The group also represents broker-dealers and investment advisers in underwritten securities offerings, SEC and FINRA compliance matters and, with members of our Litigation Department, litigation and arbitration.

"Our Securities Group represents issuers, underwriters, and sales agents in private and public financings, and helps public companies and investors satisfy reporting and other regulatory obligations."

Our securities attorneys have significant experience representing parties in a wide range of securities matters, including purchases and sales of securities by corporations and investors, mergers and acquisitions, public and private offerings of debt and equity securities, SEC reporting, federal and state securities law compliance, proxy solicitation, and listing requirement compliance.

Although many of our clients are based in Minnesota and the Upper Midwest, we regularly represent public companies with operations throughout the world. Our client base includes established businesses and growth companies in industries such as medical device and technology, manufacturing, distribution, software development, biotechnology, financial services and retail.

Our Securities and Corporate Governance groups work together closely to advise clients regarding the legal responsibilities of officers and directors under securities and corporate law. In the 2007 annual survey by Corporate Board Member magazine, directors of public corporations ranked Fredrikson & Byron among the top five firms in the Twin Cities.

Our lawyers regularly publish and speak regarding SEC reporting and securities listing requirements, including recent changes due to the Sarbanes-Oxley Act. We have advised our public company clients in all aspects of compliance in the new regulatory environment, including board and committee composition, audit committee responsibilities, committee charters and codes of ethics, officer certifications, disclosure of non-GAAP financial measures, prohibited transactions, and SEC investigations and enforcement.

Our securities practice also involves litigation and dispute resolution with broker-dealers, investors, and shareholders. Members of our Securities group have served as arbitrators for the Financial Industry Regulatory Authority, as trustees for the Securities Investor Protection Corporation and members of committees writing corporate and securities laws and regulations.

Securities Law Activities

• Public and private offerings of securities
• Representation of companies in acquisitions, dispositions and mergers
• SEC periodic reporting
• Shareholder communication and proxy solicitation
• Beneficial ownership reporting
• Compliance with NYSE, Nasdaq and AMEX listing requirements
• Negotiation of underwriting and other financing agreements
• Representation of individual corporate shareholders
• Resolution, arbitration and litigation of disputes
• FTC pre-acquisition notification requirements

Representative Clients

• Public and closely-held companies
• Growth companies
• Private companies
• Broker-dealers and underwriters
• Shareholders
• Boards of directors and special committees
• Strategic and venture capital investors
• Private investment companies and advisors