Public Companies and Securities

  • Holland & Knight's Public Companies and Securities Team serves as general and special counsel to public companies with securities listed on the New York Stock Exchange, Nasdaq and various foreign exchanges.
  • Our team guides clients through a full range of capital-raising transactions, including public offerings and private placements of equity offerings and debt securities.
  • We offer comprehensive legal representation to our public company clients, including SEC reporting and regulatory compliance, corporate governance, mergers and acquisitions and executive compensation.
Stocks

Overview

Your business requires lawyers who are well versed in the full spectrum of all legal issues facing public companies. With a focus on public company work – including extensive experience in the securities offerings and regulation, mergers and acquisitions, corporate governance, taxation and employment benefits arenas – our integrated practice team is responsive and precise in addressing your needs.

Advising a Diverse Client Base Informs Our Counsel to You

Holland & Knight’s public company roster includes Fortune 500 as well as smaller and mid-size issuers. We also represent underwriters, private equity funds, placement agents and venture capital firms in capital-raising transactions. Additionally, we advise across a broad range of industries, with clients in the communications, defense, employment, energy, healthcare, technology, transportation, hospitality, agriculture and banking sectors, among others.

Industry Involvement

The Public Companies and Securities Practice includes members who have served as counsel to numerous public companies, special committees and audit and compensation committees, attorneys with the U.S. Securities and Exchange Commission (SEC), and as members of university and professional securities associations.

Comprehensive Services for Public and Private Companies

Our approach is results-oriented – whether you are a public or private company involved in a domestic or international securities offering, a public company seeking advice on securities law or regulatory compliance matters, or in need of counsel for a capital markets transaction. The team at Holland & Knight offers comprehensive services representing your needs in the following areas:

  • initial public offerings (IPOs) and follow-on offerings
  • all stages of public company mergers and acquisitions
  • reviewing and commenting on SEC filings, including proxy statements, 10-Ks, 10-Qs and 8-Ks
  • reviewing press releases and other materials for both effective communication and compliance with securities regulations
  • every aspect of securities transactions in markets around the globe – in addition to offerings, this includes proxy solicitations, general disclosure compliance, tender and exchange offers, and responding to insurgent shareholders
  • corporate governance matters, from litigation avoidance to best practices, including director and officer indemnification issues
  • advising our clients on Rule 144, Section 16, Section 13 and similar issues
  • all securities-related tax matters, including the issuing of tax opinions in connection with offerings and mergers and acquisitions
  • structuring all types of employee benefit plans for new and existing public companies
  • evaluating, negotiating and advising on the enforcement of directors and officers management liability insurance policies
  • acting as outside general counsel to private equity and venture capital firms during their formation, and in connection with portfolio investment and divestiture transactions

Putting Our Industry Relationships to Work for You

Ultimately, our aim is to keep you informed of the latest market trends and opportunities, and to help you steer past regulatory hurdles in cross-border and other intricate transactions. To do this, we leverage our longstanding contacts in the financial community – including market regulators, private equity, venture capital, public accounting and investment banking firms, and financial institutions throughout the United States, Europe and Latin America.

Multimedia

Podcast - Beyond Compliance: A Deep Dive into Carbon Markets Fraud and the Government's Response
Sound Waves
The SEC’s Intensified Focus on AI Washing Practices
Corporate Transparency Talk Episode 3 Still
Podcast - Examining FinCEN FAQs, Proposed Legislation and Other CTA Developments
CTT Ep.2 Still
Podcast - Breaking Down the Decision to Declare the Corporate Transparency Act Unconstitutional
CTA Declared Unconstitutional
CTA Declared Unconstitutional
SEC's New Cybersecurity Risk Management, Strategy, Governance and Incident Disclosure Rules
SEC's New Cybersecurity Risk Management, Strategy, Governance and Incident Disclosure Rules
The Corporate Transparency Act is Coming: Are You Ready?
The Corporate Transparency Act is Coming: Are You Ready?
Cracking Down on Carbon Markets: CFTC and FTC Exercise Heightened Scrutiny
Podcast - Cracking Down on Carbon Markets: CFTC and FTC Exercise Heightened Scrutiny
A Discussion of the Current SPAC Litigation Environment
A Discussion of the Current SPAC Litigation Environment
Corporate Transparency Act Reporting Rules: What You Need to Know
Corporate Transparency Act Reporting Rules: What You Need to Know
Al Paredon
Al Paredón con Jorge Hernán Peláez
CPA Webinar
What You Should Know About U.S. Sanctions Imposed on Russian Elites, Proxies and Oligarchs
Media_Key_Risks_Federal_Contracting_Insights_SEC_Filings_Still
Key Risks in Federal Contracting: Insights from SEC Filings
Russia Related Sanctions Still
Updates on Russia-Related Sanctions
Sound Waves
Why 2021 Could Be Another Big Year for Buy-Sells
Coffee & Conversation
Coffee & Conversation - The SPAC Boom Through an Investigator's Lens, Part 2
Coffee & Conversation
Coffee & Conversation - The SPAC Boom Through an Investigator's Lens, Part 1
Coffee & Conversation
Coffee & Conversation - Criminal Enforcement Priorities in 2021
Coffee & Conversation
Coffee & Conversation - 2020 Fraud Detection Guidance for Audit Committees
Coffee & Conversation
Coffee & Conversation: Insights from the SEC's Small Business Advocate
Coffee & Conversation
Coffee & Conversation - D&O Insurance: The Bumpy Road Ahead and Tips to Avoid the Potholes
Sound Waves
Exit Strategies in the Government Contracting Industry
Coffee & Conversation
Coffee & Conversation - Internal Investigations: Starting Off on the Right Foot with the Auditor
Thomas Bentz Webinar Still
Insurance and COVID-19: What You've Heard, What We Know and What Comes Next
Special Purpose Acquisition Companies (SPAC) Panel Discussion
Special Purpose Acquisition Companies (SPAC) Panel Discussion
Policy Minute: Conflict Minerals Reporting Requirements
Policy Minute: Conflict Minerals Reporting Requirements

Insights

Upcoming Events

News and Headlines