Public Companies / Securities

Gordon E. Forth
Phone #: 585-987-2801
Fax #: 585-987-2901
Email:

 

Attorneys in our Public Company & Securities Laws Compliance Practice Area provide advice to our public company clients on a broad range of corporate and securities issues.  Our clients include pre-IPO companies, as well as companies listed on the NYSE, NASDAQ, AMEX and the OTC Bulletin Board.  

Our experience in this area includes providing counsel to our clients in the following areas: 

• Registration and offering of securities under the Securities Act of 1933, including initial public offerings and follow-on offerings;

• Conducting private offerings in compliance with exemptions from registration under the Securities Act of 1933 and blue sky laws, including initial capital raising transactions, PIPE transactions and Rules 144 and 145 sales;

• Compliance with periodic reporting under the Securities Exchange Act of 1934;

• Meeting requirements for disclosure of significant events, including compliance with Regulation FD;

• Conducting stockholder meetings and soliciting proxies;

• Complying with the short-swing profits liability and reporting rules under Section 16 of the Securities Exchange Act of 1934;

• Takeover regulation;

• Insider trading; and 

• Obtaining stock exchange listings.