Securities Law

Overview

Hull Barrett has represented public companies in registered offerings of stock and debt securities, as well as advising them with respect to their periodic reports filed with the SEC. We also have experience representing private issuers seeking to raise equity or debt capital, advising them with respect to qualifying for exemptions from registration under federal and state securities laws, while protecting the issuer by providing adequate disclosures to potential investors.

Importance of Securities Law

Securities laws govern and regulate information that often must be provided to investors to enable them to make an informed decision whether to invest. Even private companies must comply with securities laws when raising capital, both to protect their owners from liability from dissatisfied investors and to insure compliance with, or exemption from, federal and state registration requirements under the securities laws. Public companies must provide annual, quarterly and current reports about their business.

Representation and Achievements

  • Represented NYSE listed real estate investment trust in over a dozen registered public offerings of common stock, preferred stock and debt securities of over $1 billion, all of its securities filings, and the eventual merger and spin-off of another public company.
  • Represented Nasdaq listed company in all securities filings during its public existence over 5 years.
  • Represented large newspaper company in its initial public offering of debt securities and all securities filings during the period the securities were outstanding.
  • Represented start-up business in raising capital through private offering of unregistered securities, qualifying for exemption from registration.