Corporate Finance and Securities Law

Lane Powell provides corporate finance and securities representation to public and private companies and investors in a number of industries. Included among our corporate clients are retail, internet, apparel, biotechnology, electronic commerce, fisheries, forest products, health care, insurance, manufacturing, services, software, telecommunications and other businesses. They range from start-ups to Fortune 500 companies. Our investor clients include private and angel investors, venture capital firms and various lenders.

We assist public companies in preparing their annual reports, proxy statements, Forms 10-K, 10-Q and 8-K, press releases and other shareholder communications, and regularly interface with representatives of the SEC regarding their filings and disclosure obligations. We also provide guidance to companies and their executives in connection with Rule 144 and Section 16 reporting obligations. As part of our corporate and securities practice, we routinely counsel public companies on:

  • Responding to demands by shareholder activists
  • Adopting insider trading policies and executive 10b5-1 trading plans
  • Stock repurchase programs, including plans under 10b5-1 and VWAP Plans
  • Dealing with shareholder proxy statement proposals
  • Responding to SEC comment letters
  • Obtaining confidential treatment of materials filed with the SEC
  • Enterprise risk management and assessment
  • Real-time disclosures on Form 8-K
  • Going private transactions
  • Takeover preparedness 

We regularly advise clients on the application of the Sarbanes-Oxley Act of 2002 and the corporate governance regulations of the NYSE and NASDAQ. In particular, we routinely counsel our clients on:

  • Reviewing and amending corporate governance documents and corporate governance websites including Board Committee Charters, Code of Ethics, and Governance Guidelines
  • Implementation and execution of the annual director self-assessment process
  • Designation of an Audit Committee Financial Expert
  • Director independence assessment
  • Developing corporate policies responsive to governance-related exchange listing requirements and SEC regulations
  • Developments in the majority vote, shareholder access and e-proxy initiatives
  • Evaluating ISS Corporate Governance Quotient ratings and identifying opportunities for governance rating improvement
  • Executive compensation practices and disclosures
  • Director compensation practices and disclosures
  • The impact of, and compliance with obligations arising under, the Foreign Corrupt Practices Act
  • Document retention policies
  • Director and executive stock-ownership guidelines
  • Section 404 internal controls assessment and reporting

Our securities transactional experience includes private placements in public equity (PIPEs) and public offerings (including IPOs and follow-on offerings) of both equity and debt securities. We represent issuers, underwriters and investors, and provide time-sensitive advice and guidance in complying with federal and state securities laws and other requirements, including SEC registration and blue sky law compliance and dealings with rating agencies, trustees and stock exchanges. In short, we counsel public companies in ongoing securities compliance in a manner tailored to meet the client’s level of need, internal expertise and available resources.

Locations (1)

People (169)

Peer Reviews

  • 4.8/5.0 (177)
  • Legal Knowledge

  • Analytical Capability

  • Judgment

  • Communication

  • Legal Experience


See All 43 Reviews See All 43 Reviewed Attorneys »

*Attorneys who only have peer reviews prior to April 15, 2008 are not displayed.

Client Reviews

  • 3.8/5.0 (3)
  • 100% (3)
  • Communication

  • Responsiveness

  • Quality of Service

  • Value for Money


See All 3 Reviews


Documents ({{amountArticles}})

Documents by this Organization on
Other documents: ,


Lane Powell has more than 135 years of commitment to our communities. This commitment is reflected in Lane Powell's hiring and promotion of women and individuals from diverse backgrounds. The Firm has established an attorney Diversity Committee. The Committee is tasked with designing and implementing programs and strategies that promote an inclusive work environment and encourage the development and success of all employees.


MultiCultural Law Magazine Recognizes Lane Powell for Diversity

Lane Powell ranked as one of the country’s top 100 firms for diversity in a recent poll by MultiCultural Law magazine. The annual issue featuring the top ranking firms will be received by many Fortune 500 general counsels, all ABA-approved law schools, as well as a host of national minority and women’s legal organizations. The magazine highlights successful minority and women lawyers. Readers get straightforward interviews with some of the nation’s leading minorities in the legal community. Look for this issue of MultiCultural Law magazine in April 2005.

We are proud of our Firm’s commitment to diversity and our communities. This commitment is reflected in Lane Powell’s hiring and promotion of women and individuals from diverse backgrounds.

The Diversity Committee's mission statement is as follows:


  • Promote, focus and improve the Firm's efforts to recruit, retain and advance attorneys from diverse backgrounds;
  • Promote, both inside and outside the Firm, our commitment to diversity;
  • Provide training to Lane Powell attorneys and staff on issues related to our increasingly diverse community, both inside and outside the Firm;
  • Promote efforts to reach out to the larger legal community to increase diversity in the legal profession;
  • Coordinate firm and individual attorney membership in local and national organizations committed to diversity in the legal profession;
  • Ensure that Lane Powell is represented at local and national events and conferences that focus on and promote diversity in the legal profession; and
  • Serve as a resource for the attorneys within the Firm with regard to developing and implementing strategies and tactics to promote, focus and improve our efforts to recruit, retain and advance attorneys from diverse backgrounds, particularly with regard to mentoring and training attorneys from diverse backgrounds.

Diversity Program

To illustrate Lane Powell’s continuing commitment to diversity, our attorneys have volunteered to participate in a cutting-edge program on racism, race relations, and racial problems in the legal profession. The six-week program, conducted by the Understanding Racism Foundation, included large law firms and was geared toward creating an understanding of the problems faced by minorities in our society. The program’s goal is to awaken participants to the awareness that racial problems still exist in our society, both overtly and subtly. And many individuals are unaware and are influenced by prior generations’ prejudice. It is hoped that this increased awareness will result in a more comfortable work environment for minorities and lead to greater attraction and retention of minorities. This program is ongoing, and Lane Powell is proud to have been the first firm to host it. Our attorneys have also participated in the Pre-law Conference for High School Students of Color sponsored by the American Bar Association and the Washington State Bar Association’s Young Lawyers’ Division.

To incorporate diversity at all levels of staffing, we actively recruit candidates from diverse backgrounds; this supports our commitment to diversity while also creating a team of qualified professionals, a team which we are extremely proud to call Lane Powell.


  1. Knowledge Management

    • Does the firm have a knowledge management program? Yes
  2. Disaster Recovery

    • Does the firm have a disaster recovery plan in place? Yes
  3. Vendor Management

    • Does the firm have preferred vendor relationships? Yes
  4. Litigation eDiscovery Best Practices

    • Does the firm have an established eDiscovery Committee? Yes
    • Does your firm have any educational programs designed to address the changing federal rules of civil procedure? Yes
    • Does the firm have a standardized litigation hold program in place for its clients? Yes
    • Does your firm have a standardized protocol to guide client data collection? (i.e. Maintaining chain of custody, utilizing forensically sound procedures) Yes
    • Does the firm have a standardized protocol to guide processing clients' edata? (i.e. all data produced in PDF, meta data preserved?) Yes
    • Does the firm have a standardized approach for document reviews across practice groups (i.e. established protocol for eDiscovery review depending on the needs of the case) Yes
  5. Quality Management

    • Does the firm conduct end of matter reviews? Yes
  6. Litigation General Best Practices

    • Does the firm have a formalized new associate litigation training/mentoring program? Yes
    • Does the firm's litigation department have a structured approach to early case assessment? For example: Does your firm implement a standard approach to determine risks and strengths early in a case to assess trial or settlement options? Yes
    • Does the firm have an established records management team to assist clients with records retention, compliance and litigation preparedness? Yes
  7. Matter Budgeting and Financial Management

    • Does the firm establish formal budgets for client engagements? Yes
    • Are bills submitted electronically? Yes

Contact Lane Powell PC

Please correct the fields highlighted in red.

By clicking on the "Submit" button, you agree to the Terms of Use, Supplemental Terms and Privacy Policy. You also consent to be contacted at the phone number you provided, including by autodials, text messages and/or pre-recorded calls, from Martindale and its affiliates and from or on behalf of attorneys you request or contact through this site. Consent is not a condition of purchase.

You should not send any sensitive or confidential information through this site. Emails sent through this site do not create an attorney-client relationship and may not be treated as privileged or confidential. The lawyer or law firm you are contacting is not required to, and may choose not to, accept you as a client. The Internet is not necessarily secure and emails sent though this site could be intercepted or read by third parties.