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Epstein Becker Green represents companies of all sizes across a wide range of industries that are seeking to raise capital in the debt and equity markets or comply with ongoing securities law obligations. Our attorneys help clients evaluate the alternatives of public and private financing and choose the most appropriate and cost-effective capital-raising programs, including private placements, initial public offerings (IPOs), follow-on public offerings, and Rule 144A offerings. We also have substantial experience assisting highly regulated industries—including health care and life sciences, and financial services—with their securities law obligations and offerings.

Our attorneys handle all aspects of capital market transactions. We structure the deal, draft and negotiate documents, and interact with the appropriate regulatory authorities. Additionally, we provide personalized legal services to the following parties:

  • Clients seeking access to the public debt or equity markets. Epstein Becker Green attorneys:
    • Make introductions to investment banking firms suited to our clients' needs
    • Structure and implement the corporate reorganization transactions that are often a prerequisite to an IPO
    • Guide our clients through the registration process of their offerings
  • Underwriters. Our attorneys:
    • Provide advice with respect to disclosure and due diligence in connection with securities offerings
    • Assist with the securities, tax, and commodities regulatory aspects of investment product design
    • Anticipate and manage issues of concern to regulators and self-regulatory organizations at an early stage in the process (made possible by our experience in working with Securities and Exchange Commission staff, FINRA, and the stock exchanges)
  • Publicly traded clients. Epstein Becker Green attorneys:
    • Provide assistance in:
      • complying with responsibilities as participants in financial markets (including corporate governance rules and the Sarbanes-Oxley Act of 2002)
      • complying with the reporting and other filing requirements under the Securities Exchange Act of 1934
      • conducting follow-on public offerings
      • conducting Rule 144A offerings
      • responding to regulatory investigations and proceedings and securities litigation
      • structuring, negotiating, and consummating acquisitions involving the exchange of the clients' securities or cash
    • Represent issuers and investors with respect to alternative and innovative financing and exit strategies, including PIPE (private investments in public equity) transactions, SPACs (special purpose acquisition companies), reverse mergers, and going-private transactions.