Securities Law

Sichenzia Ross Ference Carmel LLP’s Securities Law Practice Group encompasses over 50 attorneys who are all centrally located in the heart of midtown Manhattan. Our attorneys form a core of experts that help serve the unique needs of small and mid-cap issuers. Our attorneys expertise includes advising both public and emerging growth private companies in a broad range of transactions through all stages of development and capital raising activities, including start-up financing, initial public offerings (IPOs), alternative public offerings (APOs), special purpose acquisition company (SPAC) offerings, private investment in public equity (PIPE) transactions, as well as mergers and acquisitions. In addition, we advise placement agents, underwriters and investors in connection with financing transactions.

We assist our clients with structuring sophisticated transactions and agreements. We take a pro-active role and believe that quarterbacking a deal is the key to its success. This Practice Group has the experience to identify the important issues, which enables us to anticipate problems before they arise and devise solutions. We represent entities at many stages of development and capital raising activities in a wide field of industries, including biotechnology, healthcare, telecommunications, energy and technology.


  • Initial and Secondary Public Offerings
  • PIPE Transactions
  • Reverse Mergers
  • Alternative Public Offerings
  • Exchange Act Reporting and Compliance Matters
  • Special Purpose Acquisition Company Offerings
  • Blue Sky
  • Registration Statements
  • Restricted Stock and SEC Filing Matters
  • Stock Exchange Listing Matters

Sichenzia Ross Ference Carmel LLP is a recognized leader in the PIPE market and has been rated the number one law firm representing issuers in the United States for PIPE transactions yearly since 2001. We handle stock purchase programs, issuer and third party tender offers and registered exchange offers. Our attorneys consistently represent issuers of securities, placement agents, underwriters, selling stockholders, officers and directors as well as private equity funds, venture capital firms and institutional investors.

Further, we regularly counsel clients on purchases and sales of equity and debt securities in negotiated transactions, Rule 144A transactions and registered public offerings. We assist clients in their compliance with ongoing periodic public reporting and disclosure obligations, as well as with their proxy and shareholder meeting and voting requirements. We are recognized as industry leaders with respect to being involved in and keeping abreast of changes in U.S. regulations as well as changes in the market, as we help our clients navigate this complex and constantly changing landscape.


  • Small to Mid-Sized Companies in connection with Public Offerings and Private Placement Transactions
  • Issuers and Underwriters of Securities
  • Publicly Held Companies
  • Private Equity Funds
  • Venture Capital Funds
  • Institutional Investors
  • Stock Transfer Agents

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