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Securities Regulation and Compliance

Spencer Fane assists clients of all sizes in raising capital and complying with the federal and state (blue sky) securities laws that accompany private placements and public securities offerings. We regularly advise clients on periodic SEC disclosures and stock exchange listing requirements, counsel boards of directors and their committees on corporate governance matters, assist executives and significant shareholders with Rule 144, Section 16 and Section 13 requirements, guide companies in developing equity and cash executive compensation plans and employment agreements, and help clients to structure mergers, acquisitions, divestitures, tender offers, takeover defenses, and other types of transactions. We also work with investment advisers and broker-dealers on a wide array of compliance and litigation matters.