Securities Regulation and Corporate Finance

A significant area of Maynard Cooper’s Corporate Practice involves securities regulation and corporate finance. The firm regularly represents publicly held companies, as well as individual and corporate shareholders of publicly held companies, in providing advice and support with respect to a wide variety of securities law matters, including compliance with the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940 and various states’ blue sky laws. We regularly counsel companies in connection with their Securities Exchange Act reporting obligations, including reports on Forms 10-K, 10-Q and 8-K, and assist in the preparation and review of proxy statements for both annual and special meetings of shareholders. In this regard, we have significant experience in advising public companies on disclosure controls and procedures, internal accounting controls, Regulation FD compliance issues, and compliance with the Dodd-Frank Act, the JOBS Act and the Sarbanes-Oxley Act and related SEC rulemaking. Additionally, we represent public company clients whose securities are traded on the New York Stock Exchange, NASDAQ and other securities exchanges and assist these clients in complying with the various listing standards prescribed by these entities.

Maynard Cooper also regularly represents clients in corporate finance transactions involving the sale of debt and equity securities in both the public and private markets. Our attorneys have handled numerous registered underwritten public offerings of debt and equity securities for our clients, as well as stock offerings relating to acquisitions by public companies, representing both the acquiring companies and the companies being acquired. We have experience representing companies in initial public offerings, follow-on public offerings of common stock, trust preferred securities and debt securities, secondary offerings by selling shareholders, going private transactions, Rule 144A debt offerings, exchange offers, rescission offers and private placement transactions, including PIPE transactions. The firm regularly handles private placements of securities for clients ranging from start-up companies seeking growth capital to large public companies seeking to raise capital from the institutional investment community. The firm has developed significant expertise in dealing with the staff at the Securities and Exchange Commission, including the Division of Corporation Finance, and at the Alabama Securities Commission. In this regard, the firm handles a wide range of issues, including securities registration and exemption matters, broker-dealer and investment adviser regulation, SEC no-action requests, shareholder proposals, and disclosure issues.



May 21, 2019

Randall Minor, a shareholder in the Firm’s Real Estate and Economic Development practice groups, represented Maynard Cooper in the Birmingham Business Journal’s Table of Experts: Insights into Opportunity Zones. This edition of Table of Experts was released in the May…

May 17, 2019

With 21 of the constitutionally permitted 30 days used after a three-day week this week, the 2019 Regular Legislative Session has begun to pick up the pace for a sprint to the finish. The House plans to take up only…