Practice Areas & Industries: Patton Boggs LLP

Practice/Industry Group Overview

Attorneys in the Patton Boggs Securities Practice represent clients in all major areas of securities law. Our securities attorneys advise and represent clients in securities transactions, SEC filings and other compliance matters, enforcement proceedings, civil litigation and the legislative and rulemaking processes.

The firm's transactional work includes representation of securities issuers and underwriters. We assist our clients in connection with initial and follow-on public offerings, including equity and debt offerings, rights offerings, trust preferred offerings, REIT offerings, and asset-backed securities offerings. We also act as counsel in private placements of securities, including those sold under Regulation D, Rule 144A, and Regulation S. In addition, we assist clients in raising capital through venture capital funding. Our attorneys also have significant expertise in mergers and acquisitions, corporate governance, tender offers, proxy contests and other hostile takeover efforts, and stock option and other stock based employee benefit plans. We also have formed numerous investment funds including small business investment companies and have assisted those companies in raising capital. Patton Boggs is listed among the municipal bond attorneys in The Bondbuyer's Municipal Marketplace (the "Red Book").

Our attorneys advise publicly traded companies on corporate governance, disclosure, reporting and compliance obligations under federal and state law. Typical compliance counseling for our clients involves registration and reporting obligations of public companies, broker-dealers, investment companies and investment advisors; reporting and short-swing profit obligations of directors, officers and major shareholders; insider trading prohibitions; and proxy solicitation rules. In addition to representing clients before the Securities and Exchange Commission, we represent clients before self-regulatory organizations such as the stock exchanges and the National Association of Securities Dealers, Inc.

The firm has an active securities litigation practice, typically representing clients who are the subject of enforcement actions by the Securities and Exchange Commission, the Department of Justice and state "blue sky" administrators. The firm actively participates in the rulemaking and legislative processes on behalf of clients to advocate a particular position, as well as on behalf of clients who look to the firm for information as to pending and possible developments in securities law. We assist clients with comments on Securities and Exchange Commission and Commodities Futures Trading Commission rulemaking proposals, Congressional testimony, and technical and policy arguments on pending proposals.