Polsinelli’s Securities & Corporate Finance attorneys have counseled issuers and underwriters on a broad spectrum of SEC-registered transactions. Our Debt and Equity Capital Markets team has extensive experience helping numerous companies of all sizes finance their growth through the issuance of securities appropriate to their business needs. In connection with such transactions, we frequently advise on regulatory and compliance matters regulated by the SEC, stock exchanges, and FINRA.

Our team represents issuers and underwriters in a wide range of capital market transactions. We handle the full range of U.S. and cross-border offerings of convertible, rated, and high-yield debt securities and equity securities, and related matters, including:

  • Registered initial public offerings
  • Follow-on public offerings
  • Shelf registrations
  • Registered direct and "at-the-market" (ATM) offerings
  • PIPE (private investment in public equity) and other private placements
  • Rule 144A and registered exchange offers
  • Regulation S offerings
  • Warrant offerings
  • Stock exchange and NASDAQ listings

Our lawyers' extensive experience ranges from IPOs by emerging growth companies to sophisticated debt instruments issued by established public companies. Our team understands the unique demands of complicated securities transactions. We help our clients plan and complete the offering process effectively and efficiently.

In addition, Polsinelli’s Debt and Equity Capital Markets team understands the SEC's rules for emerging growth companies, and we work with issuers to implement new registration statements and other offering procedures, including road shows and free writing prospectuses.

Experienced with every nuance of the regulatory framework and financing instruments, we focus on completing transactions quickly and efficiently.