Overview

Capital markets activity is subject to complex disclosure and regulatory requirements from multiple agencies. Pragmatic guidance on public and private financing transactions requires a multipronged perspective. Katten's work on thousands of securities matters keeps clients' capital-raising deals on track and governance practices sound.

Informed counsel in securities transactions and ongoing compliance

Our leading Capital Markets practice represents public and private issuers, underwriters, placement agents and investors in a wide variety of public and private securities offerings, including:

  • Initial public offerings (IPOs), follow-on (FPO) and secondary equity offerings;
  • High-yield, convertible and investment grade debt offerings;
  • Private investments in public equity (PIPEs) and other private financings; and
  • Venture and growth capital, from seed through pre-IPO (crossover) investments.

Our extensive capital markets experience covers the broad spectrum of market participants and transactions, including special purpose acquisition companies (SPACs), business development companies (BDCs) and foreign issuers engaging in cross-border capital raises, including those under the U.S.-Canadian Multijurisdictional Disclosure System (MJDS).

Because many of our attorneys formerly served with the US Securities and Exchange Commission or as Assistant United States Attorneys (AUSAs), clients look to us for a higher level of insight. Simply put, we understand not only what the laws say but also how key regulators and prosecutors currently interpret them. In addition, we bring a judicial perspective from litigating hundreds of federal and state securities cases nationwide.

With leading roles in influential industry organizations and associations, we help anticipate challenges and shape future policy. We help our clients resolve issues in all aspects of the securities markets, including:

  • Registration, regulation and compliance
  • Corporate governance
  • Reporting and disclosure
  • Mergers, tender offers and other strategic transactions
  • Going-private transactions
Answers in the boardroom

Early prominence in public markets has earned us positions as advisors to boards, individual directors and special committees. As a result, we are quickly on call to advise entities and individuals on their disclosure obligations and fiduciary duties. We understand how to work with and address the needs of public and private companies of all sizes, from venture-backed growth companies to small-cap public companies to Fortune 1000 companies, as well as their investors, in a range of industries, including:

  • Health care
  • Financial services
  • Technology
  • Energy and natural resources
  • Manufacturing
  • Education
  • Consumer brands and products

"Katten's knowledge, experience, and responsiveness are all excellent. I would not hesitate to refer this firm."

U.S. News – Best Lawyers® 2018 "Best Law Firms"
(Corporate Law) survey response