Blank Rome’s Public Companies and Capital Formation group has been advising public company clients for more than 60 years. We combine our lawyers’ experience in corporate, tax, and securities law matters with business acumen. We understand the underlying business transactions, as well as the complex regulatory framework impacting today’s marketplace. Our group is positioned to respond quickly and effectively to client needs, including crisis situations.

We represent U.S. public companies, U.S.-listed foreign private issuers, private equity firms, investment banks and investors in public and private offerings of debt and equity securities as well as securities compliance and regulatory matters.

What We Can Help You With

  • Public Securities Offerings:
    • Initial Public Offerings
    • Secondary/Follow-On Public Offerings
    • Selling Securityholder Offerings
    • Registered Direct Offerings
    • Shelf Registrations and Takedowns
  • Private Placements:
    • Regulation D Offerings
    • PIPE Offerings
    • Rule 144A Transactions
  • Listing on the NYSE, NASDAQ and NYSE AMEX and Quotation on the OTCBB
  • Alternative Public Offerings and Reverse Mergers
  • Tender Offers
  • Exchange Offers
  • Exchange Act Registration and Reporting:
    • Preparation of Form 10
    • Preparation and Review of Forms 10-K, 10-Q, and 8-K
    • Preparation of Proxy Statements and Information Statements
    • Preparation of Forms 3, 4 and 5 and Review of Section 16 Issues
    • Insider Restrictions on Trading and 10b5-1 Plans
  • Corporate Governance Matters
  • Review and Preparation of Social Media Policies
  • Compliance with the Sarbanes-Oxley Act, the Dodd-Frank Act, the JOBS Act and related SEC Regulations
  • Mergers, Acquisitions and Dispositions of Public Companies
  • Equity Plans, Executive Employment Agreements and Compensation Matters
  • Going Private and Going “Dark” Transactions
  • Formation and Representation of Closed-End Funds and Business Development Companies
  • Investment Company Act Regulatory Matters
  • Registration, Regulation and Governance of Investments Advisers

Why Blank Rome

  • We combine the depth and experience of a large firm practice with a commitment to close personal attention to the client and the matters involved.
  • We view ourselves as a business partner and trusted counselor to our clients and understand our clients’ businesses, their needs, and their priorities, so that we may provide creative and practical advice.
  • We invest in long-term relationships and create client service teams to ensure effective and efficient delivery of legal services.
  • We place an emphasis on preventive measures to preempt problems before they arise and help our clients prepare for changes in regulations.
  • We provide value-added services to our clients, including in-house training programs, CLE programs, and newsletters.

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