Securities and 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

• 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

• 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

• 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