Securities

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Overview

Our Clients

Katten's Securities team provides sophisticated regulatory advice to public and private companies and other financial market participants. Our securities clients span a wide range of industries, including financial services, technology, entertainment, professional services, education, health care, manufacturing, and oil and gas. We represent issuers, underwriters and other market professionals in all types of securities matters, including public and private offerings of debt and equity securities and compliance matters.

Our Services

We counsel clients on all aspects of securities market, broker-dealer, investment management, and futures and derivatives compliance and regulation. Our attorneys address the ongoing challenges presented by Securities and Exchange Commission (SEC) disclosure and other public company requirements and offer guidance on compliance with various SEC and stock market rules and regulations, including preparation and review of proxy statements and solicitation materials, periodic reports, and other disclosure documents.

Our transactional team represents clients in their public and private financing activities as well as complex corporate transactions including mergers, tender offers, going private transactions and private investments in public equity (PIPEs). We also assist clients seeking to raise capital through securities offerings.

Drawing on extensive experience serving on the boards of public companies and advising boards, individual directors and special committees, Katten attorneys offer insightful counsel on corporate governance matters, from Sarbanes-Oxley and Dodd-Frank compliance to shareholder activism. We offer a range of services to help boards satisfy increased legal and regulatory obligations, including designing appropriate governance practices that effectively meet evolving standards.

Katten's securities litigators have handled more than four hundred major securities cases, including shareholder class actions, derivative actions, corporate governance cases, internal investigations and merger-related litigation in both federal and state courts across the country. We regularly represent clients in SEC, stock exchange and Financial Industry Regulatory Authority (FINRA) enforcement matters, as well as in investigations and prosecutions by federal and state authorities. Our team, which includes former members of the SEC and the Commodity Futures Trading Commission (CFTC) as well as former Assistant United States Attorneys, is nationally recognized for its success in obtaining dismissal of suits at the pleading stage.

Firm News
Advisories
Newsletters
Events
September 28–29, 2016
Understanding the Securities Laws 2016
CLE Eligible | Chicago, Illinois
October 6, 2015
May 28, 2015
April 21, 2015
February 6, 2015
October 23–24, 2014
May 9, 2014
December 4, 2013
Startup Sessions: First Round | Chicago, Illinois
November 12–13, 2012
October 25–26, 2012
November 14–15, 2011
November 9–11, 2011
November 3–4, 2011
October 27–28, 2011
February 16–17, 2011
June 30, 2009
November 17–18, 2008
January 7–8, 2008
July 17–19, 2007
PIPEs Summit | New York, New York
November 2–3, 2006
September 28–29, 2006
August 17–18, 2006
January 18–20, 2006
Securities Regulation Institute | Coronado, California

Recognition

Corporate/M&A & Private Equity (Illinois), 2013–2016
Corporate Law (Chicago), 2011–2017
Securities Regulation (Chicago), 2012–2017
Securities Regulation (National), 2012–2017
Securities/Capital Markets Law (Chicago), 2011–2017
Securities/Capital Markets Law (National), 2013–2017
Corporate Law (National), 2011–2017
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Recognition

Corporate/M&A & Private Equity (Illinois), 2013–2016
Corporate Law (Chicago), 2011–2017
Securities Regulation (Chicago), 2012–2017
Securities Regulation (National), 2012–2017
Securities/Capital Markets Law (Chicago), 2011–2017
Securities/Capital Markets Law (National), 2013–2017
Corporate Law (National), 2011–2017

OUR CLIENTS SAY...

"Katten Muchin Rosenman provides outstanding customer responsiveness and quality of work for securities regulations, equity issuances, debt financing and borrower loan closing . . . and corporate law."

U.S. News – Best Lawyers®
"Best Law Firms" 2015
(Securities Regulation)

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