Best Equity Capital Markets Lawyers in United States

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Davies & Associates, LLC
New York, United States

Founded in 2020
100 people in their team
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Banking & Finance Equity Capital Markets Tax Increment Financing +9 more
Davies & Associates ("D&A") has grown to become the largest global law firm specializing in US, UK and Italian business and investment immigration together with Citizenship and Residency by Investment (together, โ€œCBIโ€).  Our lawyers are regarded as the leaders in the US E2...
Lippes Mathias LLP
Albany, United States

Founded in 1965
177 people in their team
English
Lippes Mathias LLP is a full-service law firm with more than 135 attorneys serving clients regionally, nationally, and internationally. With offices in Buffalo, N.Y.; Albany, N.Y.; Burlington, Ontario; Chicago, Ill.; New York City; Jacksonville, Fla; and Washington, D.C., the firm represents a wide...
Outlook Law, LLC
Anchorage, United States

Founded in 2000
50 people in their team
English
Outlook Law, LLC, is a nationally recognized firm cultivated with over twenty years of helping businesses navigate rules and regulations surrounding Government Contracting, Small Business Administration Programs, Corporate Governance, Compliance Training, and more.We represent clients from the...
Fennemore Craig, P.C.
Phoenix, United States

Founded in 1885
363 people in their team
English
For 135+ years, Fennemore has provided legal counsel to help clients thrive in a complex, evolving business and legal landscape. We deliver forward-thinking advocacy to generate value for clients and help them keep pace with the rate of change by protecting legal interests and identifying...
Bailey Glasser
Birmingham, United States

Founded in 1999
123 people in their team
English
Founded by Ben Bailey and Brian Glasser in 1999 in Charleston, West Virginia, Bailey Glasser has grown to include 76 lawyers, with 17 offices across the United States. The firmโ€™s complex litigation practice focuses on high-stakes commercial litigation; class actions for consumers, insureds,...
Burch & Cracchiolo, P.A.
Phoenix, United States

Founded in 1970
200 people in their team
English
About Burch & CracchioloNow with 50+ law professionals in its Phoenix office, Burch & Cracchiolo, P.A. is one of the Southwest's premier law firms. Our firm was founded 54 years ago by Haze Burch and Dan Cracchiolo, both now deceased. Today, our lawyers are among the most highly...
Dickinson, Mackaman, Tyler & Hagen, P.C.
Des Moines, United States

Founded in 1936
55 people in their team
English
Dickinson, Mackaman, Tyler & Hagen, P.C. is a general practice law firm in Des Moines, Iowa. Our attorneys provide a full range of legal and business counseling services to a client base that includes large corporations, small businesses, governmental entities, and not-for-profit organizations...
Pierce Atwood LLP
Augusta, United States

Founded in 1891
298 people in their team
English
Pierce Atwood LLP is a highly-regarded full-service law firm based in New England, recognized nationally and internationally for its expertise in complex and class action litigation, energy production and distribution, midmarket mergers and acquisitions, information security and technology,...
Morgan & Morgan
Panama City, United States

Founded in 1923
1,000 people in their team
Spanish
English
Our law firmWith 100 years of successful trajectory, Morgan & Morgan is a full-service Panamanian law firm, regularly assisting local and multinational corporations from different industries, as well as recognized financial institutions, government agencies, and individual clients.We support...
Bradley
Birmingham, United States

Founded in 1870
1,000 people in their team
English
Bradley is a national law firm with a reputation for skilled legal work, exceptional client service, and impeccable integrity. We provide business clients around the world with a full suite of legal services in dozens of industries and practice areas.With 13 offices located in Alabama, Florida,...
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About Equity Capital Markets Law in United States

Equity Capital Markets (ECM) in the United States refer to the financial sector where companies raise capital by issuing shares or other equity instruments to investors. ECM transactions can include initial public offerings (IPOs), follow-on offerings, private placements, and convertible bonds. The practice of law in this field involves navigating complex regulations set by government entities such as the Securities and Exchange Commission (SEC), stock exchanges, and other regulatory frameworks to ensure fairness, transparency, and legal compliance in equity fundraising activities.

Why You May Need a Lawyer

Legal issues in Equity Capital Markets can be intricate due to the large sums of money involved, the strict compliance requirements, and potential exposure to liability. Common scenarios where legal help is essential include:

  • Advising on IPO processes and legal obligations
  • Structuring secondary offerings or private placements
  • Ensuring compliance with SEC regulations and exchange listing rules
  • Drafting and reviewing prospectuses and offering documents
  • Handling mergers or acquisitions involving equity securities
  • Responding to regulatory investigations or enforcement actions
  • Clarifying shareholder rights and governance issues
  • Addressing cross-border equity transactions and foreign listings

An experienced ECM lawyer can prevent regulatory breaches, reduce risk, and provide practical advice throughout deal-making processes.

Local Laws Overview

Equity Capital Markets in the United States operate mainly under federal securities laws, with key oversight by the SEC. The cornerstone laws include:

  • Securities Act of 1933: Governs the registration of securities and disclosure requirements for issuers to provide investors with material information.
  • Securities Exchange Act of 1934: Regulates secondary trading, periodic reporting by public companies, and sets out anti-fraud provisions.
  • Sarbanes-Oxley Act of 2002: Imposes stricter reporting, auditing, and corporate governance standards on public companies.
  • Regulation S-K and S-X: Detailed rules on disclosures in registration statements and financial reporting.
  • Stock Exchange Requirements: Rules of exchanges like NYSE and NASDAQ must also be followed for listed securities.
  • State Securities Laws (Blue Sky Laws): Additional registration and disclosure requirements may apply at the state level.

ECM activities are also subject to anti-money laundering laws, insider trading regulations, and scrutiny by self-regulatory organizations like FINRA.

Frequently Asked Questions

What is an initial public offering (IPO)?

An IPO is when a private company offers shares to the public for the first time, listing them on a stock exchange. This process involves significant regulatory review and disclosure requirements.

How are equity securities regulated in the US?

Equity securities are primarily regulated by the federal securities laws, enforced by the SEC. Issuers must file detailed documents and disclosures to ensure investor protection.

What documents are required for an equity offering?

Key documents include a registration statement, prospectus, underwriting agreement, and various corporate resolutions. Private offerings may use offering memoranda or private placement memoranda.

What is the role of underwriters in ECM transactions?

Underwriters help companies structure offerings, set the offering price, buy securities from the issuer, and sell them to investors, while also ensuring legal and regulatory compliance.

What are Blue Sky Laws?

Blue Sky Laws are state-level securities regulations that supplement federal laws by requiring additional registration and disclosures for securities offered within the state.

How long does it take to complete an IPO?

The IPO process can take several months, depending on company readiness, complexity of the structure, regulatory review time, and market conditions.

What risks should companies consider in ECM transactions?

Risks include regulatory non-compliance, market volatility, disclosure liabilities, shareholder lawsuits, and reputational damage.

Can foreign companies list shares in the United States?

Yes, but foreign companies must comply with SEC regulations, US accounting standards, and exchange listing requirements, which can be complex and time-consuming.

What is insider trading and how is it relevant to ECM?

Insider trading involves buying or selling securities based on material non-public information. Strict laws prohibit this, and ECM lawyers help ensure compliance during offerings and disclosures.

When should I consult an ECM lawyer?

You should consult an ECM lawyer at the earliest planning stage of any public or private equity fundraising, when structuring deals, or if facing regulatory inquiries or enforcement issues.

Additional Resources

If you are seeking more information or assistance, the following resources may be helpful:

  • Securities and Exchange Commission (SEC)
  • Financial Industry Regulatory Authority (FINRA)
  • Public Company Accounting Oversight Board (PCAOB)
  • New York Stock Exchange (NYSE)
  • NASDAQ Stock Market
  • North American Securities Administrators Association (NASAA)
  • State securities regulators
  • Business law clinics at law schools

Next Steps

If you need legal assistance with Equity Capital Markets issues, consider the following steps:

  • Document and organize your specific questions, goals, and any relevant financial or corporate information
  • Research and identify lawyers or firms with proven ECM experience
  • Schedule a consultation to discuss your needs, potential strategies, and fee arrangements
  • Ask for an outline of expected steps and timelines for your transaction or issue
  • Remain proactive in providing information and reviewing documents your lawyer prepares or requests

Navigating Equity Capital Markets requires expertise and attention to detail. Qualified legal advice can protect your interests and support successful capital-raising activities.

Lawzana helps you find the best lawyers and law firms in United States through a curated and pre-screened list of qualified legal professionals. Our platform offers rankings and detailed profiles of attorneys and law firms, allowing you to compare based on practice areas, including Equity Capital Markets, experience, and client feedback. Each profile includes a description of the firm's areas of practice, client reviews, team members and partners, year of establishment, spoken languages, office locations, contact information, social media presence, and any published articles or resources. Most firms on our platform speak English and are experienced in both local and international legal matters. Get a quote from top-rated law firms in United States - quickly, securely, and without unnecessary hassle.

Disclaimer:
The information provided on this page is for general informational purposes only and does not constitute legal advice. While we strive to ensure the accuracy and relevance of the content, legal information may change over time, and interpretations of the law can vary. You should always consult with a qualified legal professional for advice specific to your situation. We disclaim all liability for actions taken or not taken based on the content of this page. If you believe any information is incorrect or outdated, please contact us, and we will review and update it where appropriate.