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Securities & Corporate Governance

Providing capital planning with confidence.

Clients turn to Husch Blackwell for guidance on structuring, negotiating and documenting capital market transactions that are critical to long-term growth. Clients benefit from our thorough understanding of federal and state securities laws and stock exchange listing requirements, as well the ongoing evolution of best practices in corporate governance post Dodd-Frank and Sarbanes-Oxley.

Our capital market and securities law team partners with clients in evaluating and crafting solutions to the various transactional and disclosure challenges that can arise during initial public offerings (IPOs), recapitalizations, acquisition and divestiture transactions and private equity investments, as well as more routine capital market transactions and employee offerings.  Our goal is always to help our clients achieve results that meet their business objectives and advance their interests. 

Our guidance to clients on capital market, corporate securities and governance law includes:

  • Securities and Exchange Commission (SEC) disclosure filings (e.g., forms 10-K, 10-Q and 8-K)
  • Proxy solicitations and shareholder proposal response
  • Institutional investor relation matters
  • Insider trading compliance
  • Ongoing corporate informational disclosures
  • Corporate governance documents and related filings for listing companies
  • Annual self-evaluations
  • Shareholder communications
  • Indemnification and insurance

Related areas of focus:

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Court dismisses supplier's claim of securities fraud against retailer.

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