Explore Our Capabilities

Securities

Overview

Parker Poe’s Securities Group offers technical knowledge and pragmatic advice to help our clients navigate complex regulatory and compliance issues. Our team includes regulator and in-house perspectives, and we have deep experience with all aspects of Securities and Exchange Commission (SEC) compliance and the listing standards of the New York Stock Exchange and Nasdaq Stock Market.

By working closely with our clients on their regulatory filings and lawyers from our Executive Compensation; Governance, Risk & Compliance; Mergers, Acquisitions & Joint Ventures; and Tax Groups, we gain a deeper understanding of our clients’ businesses to proactively help them achieve their objectives. We are problem-solvers for the competitive and dynamic environment in which our clients operate.

We provide comprehensive legal advice and services to four primary categories of clients:

Areas of Focus

Public Companies

We handle everything from investor relations to Exchange Act reports to complex capital raising. We carefully track new developments and survey the market and your peers so that you can focus on your business. We work closely with the members of our clients’ internal team to tell its unique story within the securities law framework.

Our services include:

  • Disclosure and compliance matters related to securities offerings under the U.S. Securities Act of 1933.
  • Preparation and review of periodic and current SEC reports under the U.S. Securities Exchange Act of 1934.
  • Section 16 and beneficial ownership reporting.
  • Review of earnings releases, investor day presentations, and press releases, including for compliance with Regulation FD and Regulation G.
  • Guidance and analysis on policies and procedures related to areas such as conflicts of interest, insider trading, and related party transactions.
  • Planning for shareholder meetings, including preparation and review of proxy statements and meeting materials.

Please click here for more detailed information regarding how we serve public companies.

Investment Funds & Advisors

Whether you are starting your first investment fund or planning your fourth or fifth, we have the legal sophistication, practical know-how, and industry connections to help investment managers achieve their goals.

Our real-world business experience with a wide variety of U.S. and international investment funds and investment advisors enables us to provide more than legal counsel – we serve as business partners to early stage and middle stage investment managers. We represent both inbound and outbound investors on the structuring, documentation, issuance, and management of onshore and offshore funds, including providing counsel on regulatory compliance and best practices. Our perspective on best practices goes beyond the legal nuts and bolts to also include managing the economics of an investment team, aligning incentives with investors’ interests, and navigating the latest trends in the investment funds arena.

We bring experience across a range of industries, including real estate, health care, technology, litigation finance, infrastructure, and blockchain, as well as asset classes, including seed investing, venture capital, private equity, and social impact investing.

Please click here for more detailed information about our Investment Funds Practice.

Private Companies

We have extensive experience representing companies and individuals in private securities transactions, whether in connection with capital raises, acquisitions, restructuring, or resales of securities. These financings include angel and mezzanine rounds, venture capital and private equity investments, and private offerings by publicly traded companies. 

Our experience covers all types of federal and state securities registration exemptions, including:

  • Regulation D offerings.
  • Rule 144A.
  • PIPE transactions.
  • Regulation A.
  • Intrastate offerings (Rules 147 and 147A).

Our services include advice regarding:

  • Disclosure alternatives, including the use and preparation of private placement memoranda.
  • Use of unregistered finders, intermediaries, and registered broker-dealers to locate prospective investors.
  • How to qualify prospective investors.
  • General solicitation and advertising restrictions.

We represent clients in a wide variety of industries, including developers of retail, hotel, multifamily, medical, and other commercial properties; technology companies; and restaurants.

Private Equity Funds & Investment

Parker Poe's private equity lawyers work on the structuring, negotiation, and documentation of a full range of private equity transactions, including acquisitions and dispositions of portfolio companies, add-on acquisitions, control and minority investments, recapitalizations, joint ventures, and purchases of troubled companies out of bankruptcy.

We cover the full range of the investment cycle in the private equity markets, from formation to exit, as counsel to general partners and limited partners, as well as the companies, management teams, and entrepreneurs who utilize that capital to acquire, create, and grow businesses.

We also assist with other aspects of private equity transactions, including the negotiation and structuring of management and employment arrangements, equity incentive compensation plans, corporate structure and organization, management services, and equity and debt capitalizations of portfolio companies. We have experience in handling all layers of corporate finance transactions that support private equity transactions, including senior loans, subordinated debt, warrants, preferred and common equity investments, and other types of securities.

Please click here for more detailed information regarding our Private Equity & Investment Practice.

Loading Content

Professionals

Loading Content