Polsinelli’s Securities & Corporate Finance attorneys combine significant transactional capabilities and regulatory knowledge with experience across a range of industries to help publicly traded and privately held companies plan and execute capital-raising transactions, address complex disclosure and regulatory issues, and establish appropriate governance policies and practices.

Our significant experience providing counsel in a full range of financial transactions to a variety of capital markets participants, including public and private issuers, underwriters and placement agents, allows us to deliver practical solutions to our clients quickly and efficiently.

Our team focuses its counsel on the following areas and services:

Polsinelli’s attorneys have experience with a broad range of debt and equity capital markets transactions, including:

Public Offerings 

  • Initial public offerings
  • Follow-on and secondary offerings
  • Exchange offers
  • At-the-market offerings
  • Shelf takedowns

Private Placements

  • Traditional private placements
  • Rule 144A offerings
  • Regulation S offerings

In addition to our transactional experience, we serve as trusted advisers to numerous public companies on all aspects of SEC and FINRA compliance, New York Stock Exchange and NASDAQ listing standards, Sarbanes-Oxley, Dodd-Frank, and executive compensation disclosures.

Our team works closely with clients in a number of industries, including:

In an effort to provide the best counsel possible, our team is committed to understanding clients' larger strategic business objectives, as well as delivering timely, pragmatic advice that is tailored to their particular circumstances. As a result, our public company clients regularly turn to us for guidance in areas such as:

  • Disclosure issues, including Regulation FD compliance and review of SEC annual, quarterly, and current reports and other SEC filings
  • Shareholder relations issues, including annual meeting preparation, proxy solicitations, proxy advisory firm recommendations, and activist investor initiatives such as proxy contests and shareholder proposals
  • Ongoing counseling of public company boards of directors and board committees regarding governance standards and "best practices," board composition, committee functions, and director and officer compensation
  • Corporate insider trading policies, Rule 10b5-1 trading programs, Rule 144 compliance, and Section 16 reporting procedures
  • Serving as liaison with the SEC and stock exchanges regarding compliance matters, responses to comment letters and inquiries, and submitting confidential treatment applications and requests for "no action" relief
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April 20, 2016
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March 26, 2015
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October 6, 2014
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March 11, 2014
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January 22, 2014
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December 17, 2013
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October 25, 2013
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August 29, 2013
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July 24, 2013
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The SEC has adopted a rule requiring SEC reporting companies to provide disclosures about conflict minerals that are "necessary to the functionality or production of a product manufactured by the company." Conflict minerals include cassiterite, columbite-tantalite, gold and wolframite and their derivatives originating from the Democratic Republic of the Congo or any adjoining country, called the "covered countries." Adoption of the rule was mandated by a section of the Dodd-Frank Act aimed at reducing the funding for armed groups that are committing human rights abuses in the Democratic Republic of the Congo. It is anticipated that the rule will directly impact thousands of SEC reporting companies and indirectly impact many more of their suppliers.
May 2, 2013
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