Capital Markets

In order to capitalize on opportunities, companies need to be prepared and agile. The fast pace of the global financial market demands focus and flexibility. Timely, tailored advice from a team of experienced attorneys can mean the difference between capitalizing on momentum and missing an opportunity.

Taft’s Capital Markets attorneys are uniquely equipped to assist business clients with all aspects of accessing the capital markets through private or public debt or equity offerings. Beyond our extensive experience dealing with the SEC, FINRA, and difficult disclosure issues, we regularly collaborate with Taft attorneys from other practice areas to help analyze and approach client issues that require specialized knowledge.

Corporate Securities

Our attorneys assist our business clients with all aspects of securities law, including compliance with the registration requirements of the Securities Act of 1933, the reporting and disclosure requirements of the Securities Exchange Act of 1934, the registration requirements of the Investment Advisers Act of 1940 and the requirements of state “Blue Sky” laws.

We advise clients on a range of issues, including:

  • Structuring public and private security offerings.
  • Mergers and acquisitions.
  • Re-organizations.
  • Tender offer and going-private transactions.
  • Ongoing reporting for issuers.
  • Structuring and drafting stock-based compensation plans.
  • Negotiating and preparing employment agreements.
  • General corporate law and governance needs.

Public Offerings

We assist issuers and underwriters in satisfying both the regulatory requirements of federal and state law and the practical requirements involved in completing debt and equity offerings of securities through registered, 144A, or Regulation A+ offerings. Our involvement in these transactions includes:

  • Assisting in the restructuring of companies in preparation for initial public offerings.
  • Participating in the preparation of registration statements.
  • Helping ensure compliance with state and federal securities laws.
  • Carrying out extensive legal and regulatory due diligence reviews.
  • Helping negotiate the terms of underwriting agreements.

Our clients include major corporations across industries, as well as lead underwriters.

Related Practices


  • Ranked National Tier 1
    by U.S. News – Best Lawyers® 
    2018 “Best Law Firms”