Securities & Public Companies

Finn Dixon & Herling represents a wide range of companies in public and private securities offerings, sophisticated financing transactions, mergers and acquisitions, and securities law compliance. Our clients include operating businesses, hedge funds, venture capital firms and private equity funds.

All of our clients benefit from our expertise focused in these major areas:

  • Counseling public companies in a wide variety of matters involving considerations of general corporate law, corporate governance and securities law and regulations
  • Advising companies on a full range of financing activities involving the Securities Act of 1933 and other legal expertise generally required in connection with sophisticated financings
  • Coordinating mergers and acquisition activities and other strategic transactions
  • Advising institutional investors on transactions involving complex securities law considerations

Our clients rely on us for knowledgeable and tailored advice on many matters, including:

  • Disclosure and reporting requirements
  • Securities offerings and general financing activities
  • PIPE transactions
  • Mergers and acquisitions
  • Shareholder rights plans and other defensive tactics
  • Executive compensation and benefits
  • Equity compensation plans
  • Corporate governance
  • Securities trading by directors and officers
  • Stock repurchase plans
  • Resale of restricted securities
  • Corporate communication and Regulation FD legal requirements

Our ability to analyze securities law issues from the perspective of issuers as well as investors provides us with a framework to provide efficient and comprehensive advice to our clients on these matters. We work with companies at all stages of development, from start-up to major business institutions.