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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.

 

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