Securities & Capital Markets

Moses & Singer represents a broad spectrum of public and privately held issuers for ongoing and transaction specific securities related matters. We represent issuers with respect to a variety of corporate finance transactions including:

• Public equity and debt offerings
• Private placements
• International securities offerings
• PIPE (“Private Investment in Public Entity”) transactions
• Reverse mergers
• Going private transactions
• Public merger and acquisition transactions
• Tender offers and other financing transactions

We provide general representation of public companies with respect to ongoing securities and regulatory matters, including:

• Periodic reporting under the Securities Exchange Act of 1934
• Corporate governance
• Conduct of stockholders meetings
• Compliance with listing requirements of securities exchanges
• Development and implementation of equity incentive plans
• Investor relations and analyst issues
• PCAOB (“Public Company Accounting Oversight Board”) concerns
• Securities litigation
• Regulatory concerns applicable to public issuers

Our representation extends to matters arising under the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940 and the Investment Advisors Act of 1940.

For more information please contact us.

Prior results do not guarantee a similar outcome.

Related News

• Howard A. Fischer Quoted in an Article in the Journal Protocol About Frances Haugen’s Recent SEC Complaint October 15, 2021
• Moses & Singer Represents ABN AMRO Ventures in Successful Exit From Open Invest September 20, 2021
• Howard A. Fischer Quoted in a Reuters Article About The Implications of Robinhood Markets Inc. Anticipated Public Listing July 28, 2021
• Howard A. Fischer Quoted in a Wall Street Journal Article on Struggling Companies Launching Stock Sale Efforts June 20, 2021
• Howard A. Fischer Quoted in Reuters Article on Meme Stocks Surge as Major Indexes Edge Higher June 2, 2021
• Howard A. Fischer Quoted in SHRM Article on SEC's Rule On Human Capital Reporting April 19, 2021
• Howard A. Fischer Quoted in Reuters Article on U.S. SEC Scrutiny Of Blank-Check Deals April 14, 2021
• Howard A. Fischer Quoted in Law360 on Recent Lawsuits Filed Against Robinhood January 28, 2021
• Howard A. Fischer Quoted in Law360 Article on Gary Gensler Atop List To Lead SEC January 12, 2021
• Howard A. Fischer Quoted in Investor's Business Daily on The Effect A New SEC Chair Might Have On Investment Advisors December 11, 2020
• Howard A. Fischer Quoted in InvestmentNews on the Potential SEC Changes Due To the Recent Presidential Election December 3, 2020
• Howard A. Fischer Quoted In WSJ Article About The Stepping Down Of SEC Chairman November 16, 2020
• Howard A. Fischer Quoted in Law360 on SEC Chairman Jay Clayton Stepping Down at End of Year November 16, 2020
• Howard A. Fischer Quoted in Compliance Week on SEC Chairman Stepping Down and the Targeting of Financial Institutions November 16, 2020
• Howard A. Fischer Quoted in Compliance Week on SEC Chairman Stepping Down and the Targeting of Financial Institutions November 16, 2020
• Howard A. Fischer Quoted In Law360 Article About What Biden's Win Means For SEC Enforcement, Leadership November 8, 2020
• Howard A. Fischer Quoted In Law360 Article About The Effects On Capital Markets Due To Uncertain Election November 4, 2020
• Allan Grauberd Quoted in Law360 on TikTok's Oracle Deal September 21, 2020
• Allan Grauberd Quoted in a Business Insider Article About the TikTok Deal September 18, 2020
• Allan Grauberd Quoted in a South China Morning Post Article on TikTok's Oracle Deal September 16, 2020
• Allan Grauberd Quoted in a Law360 Article on TikTok And Data Concerns August 7, 2020
• Howard A. Fischer Quoted in Investment News May 27, 2020
• Howard A. Fischer Quoted in Investment News May 13, 2020
• Howard A. Fischer Quoted in Reuters Article Regarding Private Debt March 11, 2020
• Apax Partners MidMarket Pulls In $1B For New Fund March 16, 2017
• Moses & Singer Advises Family Offices on Wealth Management and Risk Avoidance November 20, 2013

Related Events

• Howard A. Fischer To Be Part Of A Sustainability Panel At The MSI International Conference October 21, 2021
• Howard A. Fisher To Present At 'The Cum-Ex Scandal: Will US Prosecutors Elbow Into Europe’s Greatest Tax Fraud?' Webinar September 30, 2021
• Howard A. Fischer To Moderate Securities Disputes Committee All-Star Panel September 17, 2021
• Howard A. Fischer To Chair New York State Bar Association Panel On Arbitration June 15, 2021
• Howard A. Fischer To Speak On ESG Issues and Potential Enforcement Risk In Alternative Asset Sector June 8, 2021
• Howard A. Fischer To Moderate “Financial Services in Ireland post-Brexit” Webinar April 22, 2021
• Howard A. Fischer Moderated Webinar On “Financial Services in Ireland post-Brexit” April 22, 2021
• Howard A. Fischer Will Lead A Discussion At The NYSBA Meeting On Meme Stocks April 9, 2021
• Crowdfunding and Raising Capital on the Web June 14, 2012
• Attracting Chinese Investment to U.S. Markets--Legal, Business and Practical Considerations May 14, 2012

Related Publications

• SEC Aggressiveness Casts A Shadow Over Corporate Insiders October 1, 2021
• Human Capital Resource Disclosure: Risks & Best Practices September 24, 2021
• The Divisions on Display in a New SEC Decision Will Have Lasting Consequences August 24, 2021
• Europe’s Cum-Ex Scandal: What To Expect When U.S. Authorities Join the Party July 8, 2021
• SEC Targets Insider Trading in Health Care Sector June 23, 2021
• The Real Risks of the Archegos Saga April 1, 2021
• Did GameStop Traders Pave the Way for a New Era of Securities Fraud? February 12, 2021
• Deep in the Agencies, Trump Officials Targeted ESG Investors. A Rollback Won’t Be Easy. January 15, 2021
• Corporate Directors Beware - A Recent S.D.N.Y. Opinion Suggests That Former Directors of Selling Corporations Can Face Personal Liability for Post-Closing Insolvency January 12, 2021
• Are SEC Enforcement Actions Relating to COVID-Related Disclosures the Next Epidemic? December 17, 2020
• A Fireside Chat About Securities Regulation: Recent Updates on the Definition of Accredited Investor October 13, 2020
• The Color Disparity: Venture Capital's Problem with Black Founders Fall 2020
• The Committee on Foreign Investment in the United States: Outline of Regulations in effect as of June 2020 August 3, 2020
• INSIGHT: Books and Records Obligations During a Pandemic May 20, 2020
• A Curveball by the SBA Unsettles the Application Process for the PPP Program April 29, 2020
• State of Play: Venture Backed Startups, the Paycheck Protection Program and the Affiliation Rule April 8, 2020
• The War of Auditor Independence March 9, 2020
• A Discussion Concerning The SEC’s Proposed Changes To The Accredited Investor Definitions March 5, 2020
• Moses & Singer Securities Corner - A discussion concerning the SEC’s Proposed Changes to the Accredited Investor Definitions - Part II February 26, 2020
• Moses & Singer Securities Corner - A discussion concerning the SEC’s Proposed Changes to the Accredited Investor Definitions - Part I February 21, 2020
• The SEC Goes Big With A Concept Release Suggesting An Ambitious Re-Examination Of Private Capital Formation Exemptions July 10, 2019
• ‘Lorenzo’: What Happens Next and What To Do About It? April 30, 2019
• June 30th Deadline Approaching for US Subsidiaries of Foreign Entities Mandatory Response to Commerce Department 2017 Benchmark Survey of Foreign Direct Investment in the United States June 15, 2018
• The Revised Regulation D Rule 504 Exemption-Bigger And Better December 15, 2016
• Tools of the Trade: Keeping Your Wealth Intact for Multiple Generations November 2013
• The SEC Issues Proposed Crowdfunding Rules November 12, 2013
• The SEC Adopts Rules Permitting Public Advertising For "Private" Offerings Under Rule 506 Of Regulation D, Bad Actor Disqualification For Rule 506 Offerings, and Proposes Enhanced Disclosure and Amendments to Form D For Rule 506 Offerings July 2013
• Using Social Media to Communicate with Investors: The SEC 'Likes' This April 16, 2013
• SEC Offers Incentives to Whistleblowers: Potential Risks and Strategies for Public and Private Companies September 2011
• SEC's "Bad Actor" Proposal Poses Challenges for Rule 506 Issuers June 2011
• Proxy Access Rule: A Major Change in Governance is in Limbo November 2010
• SEC Proposes New Rule For Family Offices Under Dodd-Frank Act October 2010
• Dodd-Frank Act Permanently Exempts Non-Accelerated Filers From SOX Section 404(b)'s Auditor Attestation Requirement August 2010
• Dodd-Frank Act Changes Definition of Accredited Investor for Private Placements of Securities July 2010
• Madoff - Analysis of the Recent Decision Regarding the Scope of SIPA Protection March 2010
• Impact of SEC Rule Changes on Proxy Statement Disclosure December 2009
• SEC Rules for Smaller Public Firms, Rule 144 Changes April 2008
• The SEC's Securities Offering Reform and Small Public Companies December 2005
• Securities Watch September 2005
• Principal Issues Involved in Negotiating Large System Software Licensing Deals June 1, 1999
• Legal Concerns About International Distribution Contracts April 1, 1995