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Capital Markets and Securities

Overview

Since the enactment of the Securities Exchange Act of 1934, Waller has served as counsel for public and private companies, national and regional underwriters, venture capitalists and financing sources in public and private financings. We are proud to have participated in the growth of many companies into large national and international corporations.  Public companies rely on our corporate team for a variety of securities-related matters, such as:

  • IPOs and other public and private securities offerings
  • Follow-on and secondary offerings of common and preferred stock and debt
  • Working with regulatory agencies such as the Securities and Exchange Commission (SEC)
  • Registered direct and PIPE offerings
  • ATM (“at the market”) programs
  • Venture capital financings
  • SEC reporting and compliance
  • Tender offers and consent solicitations
  • Proxy solicitations and contests
  • Tax-exempt debt financings
  • Broker-dealer and investment adviser compliance
  • Hedge funds and related Investment Company Act matters
  • Securities litigation, arbitration matters, audits and enforcement actions brought by federal, state and self-regulatory organizations
  • Corporate restructurings and workouts
  • Real estate financings, including representation of real estate investment trusts

Well before the Sarbanes-Oxley Act of 2002 made the demands of corporate governance more complex, Waller’s corporate practice established itself as a go-to firm for corporate officers and directors seeking advice on best practices. As Sarbanes-Oxley, Dodd-Frank, the New York Stock Exchange and NASDAQ corporate governance rules and regulations have continued to evolve, Waller has stayed in step with the changes and maintained its reputation as a leading corporate group.

Broker-dealer firms and investment advisors routinely turn to our attorneys for advice in various aspects of their businesses, including:

  • Formation and licensing
  • Federal and state regulatory compliance
  • Audits and inspections by the SEC and self-regulatory organizations

Experience

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