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Corporate Finance/Securities Regulation
Kelly Hart & Hallman's corporate finance expertise ranges from traditional methods of raising capital to the creation and implementation of novel financing techniques. Our firm regularly represents issuers, underwriters, selling shareholders and investors in both public and private transactions involving virtually every kind of security- including equity options, swaps, securitized assets and other sophisticated and innovative derivative instruments. We also have substantial experience in the restructuring of financial institutions and other complex business restructurings, including the renegotiation of bank loans and other workouts, business spinoffs and leveraged recapitalizations. Our Corporate Finance/Securities Regulation and Public Finance practice groups work closely together in connection with industrial development, municipal and other public bond financings.
One primary focus of our Corporate Finance/Securities Regulation practice group is providing legal counsel to issuers, non-issuer sellers and purchasers regarding the public and private issuance or sale of securities. Our attorneys have in-depth experience in corporate governance initiatives, proxy contests and anti-takeover devices, such as “poison pill” rights plans and “shark repellent” charter and bylaw provisions.
Another focus of the group involves advising our clients regarding applicable federal and state securities regulation. This typically includes issues pertaining to insider trading, periodic reporting to the Securities and Exchange Commission, broker-dealer and investment adviser regulation and compliance with the rules of self-regulatory organizations, such as the New York Stock Exchange and the National Association of Securities Dealers. Attorneys routinely prepare and review registration statements, private placement memoranda, annual reports to stockholders, proxy statements, and various other reports and documents under the Securities Exchange Act of 1934.
