Underwriters and Placement Agents

Our Capital Markets Group regularly represents investment banking firms in underwritten offerings and private placements of securities. We undertake a variety of tasks on behalf of our investment banking clients that are critical to a successful securities offering.
These include:

• Negotiating underwriting and placement agreements
• Conducting issuer due diligence
• Preparing prospectus and private placement disclosure
• Addressing selling shareholder issues and management lock-ups
• Drafting agreements among underwriters and selected dealer agreements
• Managing the SEC registration and review process
• Reviewing auditor’s comfort letters
• Conducting state blue sky reviews

Our underwriter representation also covers compliance with FINRA rules and regulations on underwriter compensation, free-riding and withholding, conflicts of interests and other matters.

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