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Practice Areas :
Securities
Attorneys in the Securities practice at Patton Boggs represent clients in all major areas of securities law. Our securities attorneys advise and represent clients in capital market transactions, mergers and acquisitions, Securities and Exchange Commission (SEC) filings, corporate governance, and other compliance matters, enforcement proceedings, and 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, such as those sold under Regulation D, Rule 144A, and Regulation S. In addition, we assist clients in raising capital through venture capital funding.
Our attorneys have significant experience in mergers and acquisitions, corporate governance, tender offers, proxy contests and other hostile takeover activities, and stock-based employee benefit plans. We have formed numerous private equity investment funds involving small business investment companies (SBICs) and have assisted those companies in raising capital. Patton Boggs is also listed among the municipal bond attorneys in The Bondbuyer's Municipal Marketplace (the “Red Book”).
We advise publicly-traded companies on corporate governance, disclosure, reporting, and compliance obligations under federal and state law, as well. Typical compliance counseling for our clients involves registration and securities 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 SEC, 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 brought by the SEC, the Department of Justice, and state securities regulators. 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 SEC and Commodities Futures Trading Commission rulemaking proposals, Congressional testimony, and technical and policy arguments on pending proposals.
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