Capital Markets and Securities Offerings


Conner & Winters has a large and broad securities law practice. Our attorneys in this area have extensive, in-depth experience in a broad range of securities matters, including both public and private offerings of debt and equity securities. Our securities practice group handles securities offerings for companies of all sizes and has taken a number of major companies public. We handle all aspects of offerings, including underwriting requirements, filings with the Securities and Exchange Commission and state regulatory agencies, and compliance with disclosure issues.  We also routinely represent issuers and private equity investors in private finance transactions, including high-yield debt and complex financings.

We provide full-service securities law representation on matters such as:

  • Compliance with periodic public company reporting (Forms 10-K, 10-Q and 8-K)
  • General public disclosure compliance (Rule 10b-5 duties)
  • Proxy solicitation/compliance requirements
  • Shareholder activism
  • Proxy contests
  • Rule 144 compliance
  • 14a-8 shareholder proposal issues
  • Regulation 13D/G compliance
  • Regulation FD compliance
  • Insider securities ownership reporting and short-swing profit liability
  • Advice on insider trading compliance and disclosure issues
  • Advice on dealing with activist investors
  • Assistance with Securities and Exchange Commission review process and comment letters
  • Sarbanes-Oxley Act compliance
  • Dodd-Frank Act compliance
  • Stock exchange listing and compliance matters
  • Employee benefit plan securities law compliance
  • Proxy and takeover contests
  • Compliance with federal and state laws in private placements
  • Going private


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