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Capital Markets

Overview

Alternative investment vehicles, shifting international dynamics and transformative technologies are just a few of the factors shaping the global capital markets.

From transformational deals to sensitive regulatory and compliance issues, Loeb & Loeb’s Capital Markets team helps issuers, underwriters and investors embrace change, overcome hurdles and capitalize on opportunities in today’s complex and dynamic market. We handle some of the most innovative capital markets transactions across the globe — transactions that have redefined the landscape of business in China, India, Israel, Latin America, Europe and the United States.

Loeb lawyers are particularly distinguished for their work at the forefront of alternative public offering structures, including nearly unparalleled experience with special purpose acquisition company (SPAC) offerings. We paved the way for some of the first private Chinese companies to be listed on U.S. stock exchanges. And across the firm, Loeb’s innovative, multidisciplinary work at the leading edge of digital media and technology, energy, and health care and life sciences provides our capital markets clients with unmatched sector knowledge and practical know-how that enables them to take advantage of new opportunities in these fast-changing industries.

Our team works with a full range of market participants — public companies and emerging growth private companies; underwriters, placement agents and other financial intermediaries; and individual, institutional, private equity and venture capital investors. We know the nuts and bolts, and the potential pitfalls, of these deals. And we offer a hands-on, partner-led approach from beginning to end of every transaction, enabling us to quickly and efficiently assess and address any of the inevitable — and potentially disruptive — issues in getting deals done.

We assist clients with ongoing compliance and reporting obligations, corporate governance, and stockholder interactions. We advise on mergers and acquisitions involving securities. We also act as outside general counsel to numerous public companies, collaborating with colleagues across the firm to provide end-to-end counsel, including on tax, intellectual property, due diligence, labor and employment, compensation, white collar, regulatory, and litigation matters.

  • Our Capital Markets team works with issuers, underwriters and investors on:

    • Initial public offerings (IPOs) and secondary and follow-on offerings
    • Registered direct offerings and at-the-market offerings (ATMs)
    • Special purpose acquisition company (SPAC) offerings
    • Complex cross-border financings
    • Venture capital financings
    • PIPEs and other private placements
    • Rule 144A transactions
    • Purchase and sale of equity and debt, including tender, exchange and rights offers.
    • Other financing strategies
  • Our lawyers have extensive experience dealing with the Securities and Exchange Commission, the Financial Industry Regulatory Authority (FINRA), the principal U.S. and Canadian securities exchanges, the Hong Kong Stock Exchange, the Securities and Futures Commission, and other capital market regulators in Greater China.

    We assist clients with ongoing compliance and reporting obligations, stockholder programs and policies, equity compensation matters, officer and director reporting requirements, and managing disclosure considerations, including:

    • Public company reporting and financial statement requirements under the Exchange Act
    • Insider and corporate affiliate trading restrictions and policies
    • Share repurchase programs
    • Stock option and other compensation plans
    • 10b-5(1) stock sale programs
    • Sales of restricted securities under Rule 144
    • Broker-dealer regulation
    • FINRA compensation matters
    • State securities regulations and the Investment Company Act
    • Going-private transactions

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