Securities and Capital Markets

From traditional capital raising, venture capital, and private equity to alternative investment structures and everyday SEC compliance, Kelley Drye can help you navigate securities laws and close critical transactions.

Kelley Drye’s pioneering work on deal structures and capital raising solutions can help you accomplish any type of public or private offering, across any border, and in any industry.

We help companies of all sizes―and in particular, middle-market and emerging growth companies, entrepreneurs, and small-cap and micro-cap companies―with legal and operational challenges. And we offer tactical advice that is timely, practical, and grounded in our solid knowledge of both corporate and securities laws and the needs of your business.

We advise public companies and public company insiders on reporting obligations and corporate governance. You can call on us for guidance in creating governance policies and procedures that position you for the regulatory rigors of daily reporting obligations.

We are recognized as one of the leading firms representing issuers, investors, investment banks, underwriters, placement agents, investment funds, hedge funds, and private offices in the structuring, negotiating, and developing underwritten offerings, registered direct offerings, CMPOs (Confidentially Marketed Public Offerings), PIPEs (Private Investments in Public Equity), and other related products..

Whatever path to liquidity you choose, our dedicated securities and capital markets team can help you think through your capital-raising alternatives.

Securities Offerings

  • Private and public primary and secondary offerings of:
    • Common stock, common shares, ordinary shares and ADSs/ADRs;
    • Rights, options, warrants, prepaid warrants, preferred stock, convertible preferred stock, promissory notes, secured notes, subordinated notes, unsecured convertible notes, secured convertible notes, subordinated convertible notes, indentures, hybrid securities; and
    • Units consisting of any of the foregoing.

Reporting Companies and Insiders

  • Preparing and filing reports with the SEC
  • Ensuring compliance with the rules of the NYSE, the Nasdaq Stock Market, and the OTC Markets
  • Ensuring fair disclosure of material developments and news
  • Preparing proxy and information statements
  • Corporate governance matters, including board of directors and committees, stockholder matters, and governance policies.

International Clients

  • Guiding foreign clients in their U.S. and offshore offerings
  • Assisting with U.S. reporting and other requirements
Team Members