Private & Public Offerings

Our corporate and securities attorneys have experience in all areas of public and private securities offerings and transactions. Presently, we represent a multitude of public companies, alongside private companies engaged in capital-raising through ventures in venture capital transactions and private offerings.

We advise clients on the “going public” process, including dedicated representation during their initial public offering (IPO) phase. This commitment extends as we continue representation of our clients in their journey, ensuring their adherence to reporting requirements of the Securities and Exchange Commission (SEC). This entails meticulous preparation of crucial documents such as their annual report on Form 10-K, quarterly reports on Form 10-Q, proxy statements, and all other required SEC filings. Our guidance also encompasses navigation of Sarbanes-Oxley (SOX) compliance, ensuring our clients uphold the highest standards of financial accountability and transparency.

FitzGerald Kreditor Bolduc Risbrough LLP’s Securities Experience Includes:

• Initial and follow-on public offerings

• Obtaining quotation and listing of client securities on the National Association of Securities Dealers Automated Quotation System (NASDAQ), NYSE, American Stock Exchange (AMEX), and the Over-the-Counter Bulletin Board (OTCQB)

• Regulatory compliance with federal securities requirements for annual reports, quarterly reports, and other public company filing requirements

• Selling shareholder registration statements

• Private offerings and private placement memorandums (PPMs)

• Mergers and acquisitions

• Venture capital transactions

• Compliance with state “blue sky” laws

• Structuring transactions for compliance with specific securities laws exemptions, aimed at limiting regulatory costs

• Structuring otherwise uneconomic transactions to become profitable

• Sophisticated financing structures such as rights offerings, bond offerings with “equity kickers,” bridge loans, preferred stock offerings, and stock splits

• Compliance with the Sarbanes-Oxley Act of 2002 (SOX)

• General securities, corporate, contractual, business, and transactional matters