Securities Law

Our Corporate, Securities and Finance Practice Group engages in all types of equity and debt financings and provides counsel in public and private offerings, mergers and acquisitions, tender offers and syndications. Our clients range from large, publicly traded companies to closely held entrepreneurial businesses. All attorneys in the practice group have broad expertise in general corporate, tax and securities matters and most have master’s degrees in taxation, a fact which provides a unique perspective to the corporate and securities practice. Additionally, they each focus their practice on a particular area of law important to the representation of the business enterprise.

Corporate Representation: Lawyers involved in general corporate representation place major emphasis on mergers and acquisitions, purchases and sales of businesses, corporate reorganizations and recapitalizations, general corporate law, fiduciary obligations and rights of directors and officers, partnership formation, taxation and syndication, formation, planning and taxation of limited liability companies, general tax planning for corporations and business contract negotiations. These lawyers work closely with others in the firm on matters involving corporations, including employee benefits and executive compensation, financing transactions, environmental issues, intellectual property issues, litigation and labor and employment law, as well as estate planning for corporate directors, officers and principal shareholders.

Securities Regulation: Our firm has broad experience in many and varied securities matters. We have served as counsel to a variety of issuers in connection with initial and other public offerings of securities, including mergers and acquisitions, real estate investment trusts, tender offers, takeovers, debt offerings, equity offerings and universal shelf registrations. We also have extensive experience in private offerings, syndications, venture capital transactions, proxy solicitations, insider trading rules, sales of restricted securities, registration of employee benefit, stock option and dividend reinvestment plans, SEC investigations and SEC compliance.

Private Equity Funding

Syndications, Limited Partnerships and Limited Liability Companies

Attorneys at Sirote & Permutt have significant expertise in syndication financings advising venture capital, biotechnology, real estate, hedge fund and operating company clients as well as private investment pools. Sirote & Permutt’s corporate lawyers, in conjunction with the firm’s tax, securities law, ERISA and international law specialists, provide advice and assistance in documenting and negotiating complex syndication fund and pooled investment vehicle structures and preparing partnership documentation, offering materials and securities compliance materials. Sirote & Permutt has extensive experience in the formation of publicly-offered and privately placed partnerships, and the related state and federal securities registration and regulation processes.

Our attorneys also have significant experience in organizing joint ventures, limited partnerships, limited liability companies and other unincorporated associations, in representing these issuers and in structuring investments using these investment vehicles. The firm is thoroughly familiar with the particular legal and business considerations which must be considered in structuring investments made by insurance company "separate accounts", REITs, publicly-offered funds and tax-exempt entities, including those which are subject to ERISA.

Public and Private Offering Expertise

Sirote & Permutt attorneys regularly advise clients on a broad range of securities issues arising out of acquisitions and dispositions, including disclosure of material events and structuring transactions to maximize an issuer’s ability to access the public capital markets.

Sirote & Permutt’s public and private offering and securities knowledge arises from our broad experience representing large industrial firms, investment partnerships and major underwriters in public and private offerings of equity and debt securities. We provide practical business advice, as well as skilled legal representation, in the complex process of preparing and filing registration statements, obtaining necessary regulatory and NASD approvals, and consummating the offerings. 

 

 

Publications

The Uncertainty of Basis Increases in Connection with Back-to-Back Loans to S Corporations - 9/1/2009

SMART Alert - 1/9/2009

SMART Alert - 1/7/2009

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