Securities Practice Overview

PKJ’s attorneys are highly experienced in securities matters ranging from debt and equity financing for public and private companies to fund formation work to structuring mergers and acquisitions, joint ventures and offerings.  The firm offers representation to clients on a wide array of securities law issues including compliance with and exemptions from the 1933, 1934 and 1940 Acts, as well as the Sarbanes-Oxley Act of 2002, compliance with listing standards of the NYSE, NASDAQ and AMEX and state blue sky laws.  Our attorneys have represented clients in complicated initial public offerings, secondary offerings and private placements.  We have also helped clients navigate the changing regulatory landscape and comply with reporting and disclosure requirements.

In addition to transactional work, PKJ’s attorneys have prepared and reviewed SEC filings and advised on other regulatory, compliance and public disclosure matters, as well as enforcement and litigation matters.