Corporate and Securities Department Capital Markets and Securities Attorneys

Our award-winning capital markets and securities practice is widely sought out by corporate issuers, investment banks, asset managers and other market participants to represent them in their most complex capital-raising transactions and securities matters.

Our capabilities include (among others):

• IPOs and Other Public Offerings
• Shelf Registrations
• Securities Exchange Act Reporting and SEC Compliance Matters
• PIPE Transactions
• Private Placements
• Registered Direct Offerings
• Public Company M&A
• Reverse Mergers and Alternative Public Offerings
• Special Purpose Acquisition Company (SPAC) Transactions
• Blue-Sky Compliance
• Up-Listings
• Stock Splits, Reverse Stock Splits and Other Corporate Actions
• Restricted Stock and SEC Beneficial Ownership Filing Matters
• Stock Exchange Listing and Compliance Matters

IPOs and Other Public Offerings

Our attorneys have extensive experience representing corporate issuers, underwriters and other market participants in initial public offerings (IPOs). Our team regularly advises domestic and foreign clients on the full range of legal and regulatory challenges impacting market participants who seek to complete listings on U.S. stock exchanges.

Our team also advises domestic and foreign clients in connection with direct listings, spin-offs, follow-on and secondary public offerings and shelf registrations.

For more information, please visit our Transactions page.

Private Investments in Public Equity (PIPEs), Private Placements, Registered Direct Offerings and Other Equity Financing Alternatives

SRFC is a market leader in the private investment in public equity (PIPE), private placement and registered direct offering markets. Our team has significant experience representing corporate issuers in various industries, as well as placement agents and investors in these transactions.

Our practice has been recognized in various national league table rankings, including the following:

• Number one “most active” issuer counsel among securities law firms nationwide in the PlacementTracker™ PIPE and Private Placement league table rankings for Q2 2025 ─ 38 transactions, totaling $812.6 million
• Number one “most active” issuer counsel among securities law firms nationwide in the PlacementTracker™ PIPE and Private Placement league table rankings for Q1 2025 ─ 27 transactions, totaling $703.3 million
• Number one “most active” issuer counsel among securities law firms nationwide in the PlacementTracker™ PIPE and Private Placement league table rankings for 2024 ─ 42 transactions, totaling $241.7 million
• Number three “most active” placement agent counsel among securities law firms nationwide in the PlacementTracker™ PIPE and Private Placement league table rankings for Q2 2025 ─ 11 transactions, totaling $89.6 million
• Number four “most active” investor counsel among securities law firms nationwide in the PlacementTracker™ PIPE and Private Placement league table rankings for 2024 ─ 6 transactions, totaling $10.5 million
• Number five “most active” placement agent counsel among securities law firms nationwide in the PlacementTracker™ PIPE and Private Placement league table rankings for 2024 ─ 18 transactions totaling $83.8 million
• Number six “most active” placement agent counsel among securities law firms nationwide in the PlacementTracker™ PIPE and Private Placement league table rankings for Q1 2025 ─ 5 transactions, totaling $29.4 million

Our team regularly advises clients on all aspects of private capital raising transactions (for publicly traded and privately held companies, as well as investment funds), including common stock placements, as well as convertible preferred stock and convertible debt financings (among other matters). We also have significant experience in a variety of other equity financing alternatives, including equity lines of credit and at-the-market (ATM) offerings.

For more information, please visit our Transactions page.

Reverse Mergers, Alternative Public Offerings and SPAC Transactions

Our team has substantial experience representing market participants seeking to complete listings on U.S. stock exchanges through alternative means, such as reverse mergers.

We also represent clients in connection with initial public offerings for special purpose acquisition companies (SPACs). Additionally, we represent clients in “de-SPAC” mergers and acquisitions.

For more information, please visit our Transactions page.