Overview

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

Informed counsel in securities transactions

We navigate public and private companies, issuers and investment banks through IPOs and other equity and debt issues. Because many of our attorneys formerly served with the US Securities and Exchange Commission, with the Commodity Futures Trading Commission or as Assistant United States Attorneys, 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 more than 400 federal and state securities cases nationwide.

With leading roles in the NASDAQ Public Policy Advisory Group and other influential associations, we help anticipate challenges and shape future policy. We help you resolve issues in all aspects of securities markets, including:

  • Broker-dealer relations
  • Corporate governance
  • Debt and equity securities
  • Disclosures
  • Going-private transactions
  • Investment management
  • Private investments in public equity
  • Registration, regulation and compliance
Answers in the boardroom

Early prominence in public markets has earned us positions on boards of public companies and 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 and fiduciary obligations under the securities laws. We work with middle-market and upper-middle-market companies and their investors in a range of industries, including:

  • Education
  • Financial services
  • Health care
  • Manufacturing
  • Oil and gas
  • Technology