Brooks Pierce attorneys serve as general counsel for numerous public and private companies, investment banking firms, and venture capital and mezzanine-financing sources relating to securities law. Our experience extends to public offerings and private placements of securities by assisting clients in all stages of capital development from formation to later-stage venture capital financing, initial public offerings and workouts.
We assist publicly-traded clients in connection with their preparation of proxy solicitation material, filings with the Securities Exchange Commission (SEC), and reports to shareholders. We also represent individuals and corporations in enforcement actions. We are confident that our securities team is prepared to handle all of your securities needs.
As securities counsel to both public and private companies, some of our services include:
- Assistance and advice with stock option plans, stock repurchases and other equity-based compensation plans;
- Development of policies, codes of ethics, charters, and corporate governance documents required by the Sarbanes-Oxley Act of 2002;
- Guidance with the compliance of various Securities and Exchange Commission rules and regulations under the 1933 Act, the 1934 Act and Sarbanes-Oxley (e.g. Rule 144/145, Rules 10b5-1, 10b5-2, 10b-17, 10b-18);
- Preparation and review of forms filed under Section 16 of the 1934 Act;
- Preparation and review of private placement memorandum/offering circulars;
- Preparation and review of registration statements under the Securities Act of 1933, as amended;
- Preparation of demand and piggyback registrations;
- Preparation or oversight of reports filed under the Securities Exchange Act of 1934, as amended; and,
- Representation of individuals and companies in enforcement actions.
See also Corporate & Securities Litigation.
Beacon Technologies, Inc.
