Securities
EM³ guides issuers, underwriters, and investment banks through public and private capital raises for middle market companies, with deep knowledge of both the market and the regulations.
Overview
EM³'s Securities practice works with issuers, underwriters, and investment banks on offerings, financings, and compliance issues. The team understands "market" value for transactions, even when the market is changing. Drawing on its experience, the Firm works to foresee and resolve issues, and it brings a practiced eye and a thorough approach to representing and protecting clients.
Offering Types
Our securities attorneys help each client select and structure the offering type that best aligns with its particular capital needs, timeline, investor base, and ongoing reporting appetite. The Firm handles Reg D private placements, Reg A+ offerings, 144A placements, and Reg CF crowdfunding offerings.
Experience
The Firm uses its experience across industries and disciplines to guide companies through the complex process of raising capital. Its practical, business-focused advice helps clients through the complex legal issues of a deal while addressing their unique goals for branding, positioning, and transactional objectives. The team also has experience counseling clients and their boards on corporate governance and shareholder engagement.
Middle Market Capital Raising
Middle market companies face unique capital-raising challenges: they need counsel that understands investor expectations, but they also need practical advice calibrated to their stage and resources. The Firm provides both, advising growth-stage and middle market issuers on capital structure, offering strategy, and investor relations.
Regulatory Compliance
The Firm regularly advises clients with respect to securities, corporate governance, and compliance matters arising under state and federal securities laws and exchange listing rules. The team analyzes the impact of potential regulatory requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934 throughout the course of a matter to achieve ongoing compliance. Because the Firm understands the multiple layers of regulation, it can help clients meet the requirements of each one effectively and efficiently.
Focused Advisory Areas
- Reg D private placements and Reg A+ offerings
- 144A placements and Reg CF crowdfunding
- SEC compliance and reporting
- Shareholder engagement matters
- Securities litigation defense
