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 auditors' comfort letters
• Conducting state blue sky reviews

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

Show all attorneys in this practice