Securities Law

Spector Gadon & Rosen, P.C. serves as general counsel for public and private companies, banks and financial institutions, venture capital funds and investors in connection with a wide range of securities matters. Our lawyers have represented companies engaged in capital raising and financing transactions, including public and private offerings of debt and equity securities for seasoned and new issuers. Our corporate and securities lawyers counsel management and boards of directors on all aspects of federal and state securities laws and corporate governance matters, including issuer disclosure and reporting compliance; insider trading and fiduciary duty issues.

Our solutions are both innovative and practical, meticulously crafted according to each client’s unique needs. Our Securities Law Group advises clients on a variety of matters, including:

  • Public offerings of debt and equity securities in primary or secondary transactions and shelf registrations
  • Private placements and exempt securities offerings; including Regulation D offerings of convertible debt and equity securities and Rule 144A offerings of debt securities
  • Compliance with annual, quarterly and other SEC periodic reporting requirements (e.g., 10-Ks, 10-Qs, 8-Ks and proxy statements)
  • Corporate governance issues, including compliance with Sarbanes-Oxley and NYSE and NASDAQ listing requirements
  • Mergers and acquisitions, tender offers, proxy contests and solicitations
  • Counsel on insider trading matters, Section 16 reporting; resales of restricted securities by insiders including under Rule 144
  • Employee incentive compensation plans involving employer securities