Corporate Finance & Securities

Whether you are a business, investor, lender, issuer, borrower, underwriter or placement agent, Rhoads & Sinon attorneys can help you evaluate, structure and implement your equity and debt financing opportunities, including:

  • venture capital,
  • IPO's and other registered public securities offerings,
  • letter of credit financing,
  • shelf offerings,
  • private placements,
  • senior and subordinated debt financings,
  • trust preferred securities offerings, and
  • other secured financing and refinancing transactions.

We provide counsel and documentation specifically related to state and federal regulation of securities offerings and public companies, including '34 Act periodic reporting, audit committees and Sarbanes-Oxley Act compliance.

Our professional network is extensive. We work with the Securities and Exchange Commission, Financial Industry Regulatory Authority (FINRA) and state securities administrators. Our clients include securities issuers, underwriters, selling agents and investors.

We help clients prepare proxy materials and periodic reports required under the Securities Exchange Act of 1934, such as 8-Ks, 10-Ks and 10-Qs. We also counsel clients on programs to monitor insider trading and to comply with SEC disclosure obligations, including the enhanced reporting required by the Sarbanes-Oxley Act.

Our securities clients are listed on the New York Stock Exchange, the American Stock Exchange (AMEX), the NASDAQ Stock Market and the OTC Bulletin Board. We support filings for new listings or quotation qualifications, and we help clients comply with listing obligations.

Many of our clients are securities firms. We assist them in a variety of corporate reporting, securities underwriting and placement, brokering and dealing, and litigation matters. We also represent investment advisors, including investment advisors to mutual funds, as well as financial institutions involved in securities activities.

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