Securities Law Attorney Value To Corporations

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There are many advantages to hiring a corporate lawyer who specializes in securities law, whether it be for public or private business interests. Securities law can be complicated, to put it lightly, and the application of said law is myriad. A securities law attorney can help with drafting official proxy statements, reviewing merger agreements, helping to draft a proposal for an Initial Public Offering (IPO), and many more things. In general, a securities law attorney can help in the following main areas. 

Public offerings

This can include brand new IPOs, follow-on IPO's, Direct Public Offerings (DPOs), Alternative Public Offerings (APOs), and even Special Purpose Acquisition Companies (SPACs). In any one of these potential scenarios, numerous registration materials must be filed with both state and federal regulators. In many cases, a securities law attorney would also be able to help draft placement arrangements and prospectuses with underwriters and other necessary agents involved in the public offering process.  

Private offerings  

These are securities that are handled exclusively through non-public transactions and typically fall under Regulation D, Regulation S, or SEC Rule 144A. These transactions can often be extremely complex, and often also requires the qualification of all parties as meeting certain financial and investment standards for the transactions to be completed legally. State regulations tend to factor more heavily on private offerings, and laws and regulations can vary heavily from state to state.  

Real Estate Investment Trusts (REITs), and Unit Investment Trusts (UITs)

These classifications of investment securities can be especially complicated as there are numerous overlapping, not to mention convoluted state and federal securities registration and trading laws that must be followed. For example, the tax and reporting requirements for any REIT or UIT that generates what is known as Unrelated Business Taxable Income (UBTI) can be especially tricky. The reporting requirements on this alone can often require hiring an outside accounting agency to prepare and file the necessary tax documents, as well as disseminate them to all applicable shareholders.  

Securities Transactions  

This can run the gambit on all the aforementioned securities. In particular, it can deal directly with mergers, acquisitions, stock splits, reverse splits, tender offers, and several dozen other corporate securities transactions. A competent corporate lawyer, experienced in the application of securities law will be able to provide advice, prepare and file documents, ensure all laws and requirements are followed, as well as help in any requisite negotiations.  

For more information, visit websites such as to connect with securities law attorneys.