Capital Markets

Overview

“The group wins widespread praise for its excellent service and ‘strong talented lawyers who respond instantaneously.’ Sources also admire the practice because it ‘truly values and invests in its relationships with clients.’”

— Chambers USA

Blank Rome’s Capital Markets practice combines our attorneys’ experience in corporate, securities, and tax law matters with the business acumen required to help our clients succeed. We understand the underlying business transaction as well as the complex regulatory framework that governs the way offerings are made in today’s marketplace. This combination of legal and business experience gives us a unique understanding of the transaction and the legal implications of structuring securities offerings.

Leveraging fundamental regulatory insight, extensive industry experience, and a nuanced understanding of our clients and their stakeholders, we help clients seize the market opportunities they seek, manage potential risk with precision, and help drive maximum value overall.

Blank Rome is a trusted long-term partner, offering guidance from the initial public offering (“IPO”) through the public company life cycle. Our comprehensive acumen and insight enable us to support public companies across financings, acquisitions, divestitures, corporate governance, and Securities Exchange Act of 1934 reporting, as well as everyday legal matters as they arise.

Our attorneys act as trusted advisers and securities counsel for public companies across a broad range of industries. We offer proactive, targeted advice informed by daily monitoring of legal and regulatory developments. We deliver exceptional guidance at every stage, with wide-ranging knowledge of Securities and Exchange Commission (“SEC”) reporting and disclosure obligations, all entrenched within a clear understanding of the priorities of public company leadership.

Additionally, our attorneys have relevant experience in all areas of capital raising and regulatory compliance, including SEC registered and unregistered offerings; securities disclosure requirements applicable to well-known seasoned issuers, large accelerated filers, accelerated filers, small reporting companies and emerging growth companies; exchange listings and compliance; SEC compliance; and state securities or blue-sky laws.

Our attorneys provide strategic guidance throughout the full spectrum of capital formation, from initial seed funding and growth equity to hybrid and mezzanine financings, public market transactions, and private equity transactions. By drawing upon critical regulatory experience, specific industry knowledge, and a sophisticated understanding of our clients and their stakeholder dynamics, we facilitate the timely execution of market opportunities, deliver rigorous risk evaluation, and help generate the achievement of superior financial outcomes.

Additionally, a critical dimension of Blank Rome’s Capital Markets practice involves representing investment banks in various capacities, including serving as underwriters, agents, financial advisers, and providers of fairness opinions. These roles require a deep understanding of regulatory frameworks and industry standards. In particular, it is essential for us to incorporate Financial Industry Regulatory Authority (“FINRA”) guidelines to ensure compliance, transparency, and integrity throughout the transaction process, thereby safeguarding the interests of all stakeholders.

When our clients’ needs extend beyond core governance and securities matters, Blank Rome offers access to a broad range of complementary services and comprehensive industry experience across our firm. Our firm-wide capabilities include intellectual property, tax, real estate, energy, environmental, transportation, maritime, retail, cannabis, gaming, securities, business litigation, and more, ensuring comprehensive support tailored to each client’s unique challenges.

How We Can Help

Equity Offerings

IPOs
Underwritten and best-efforts public offerings and registered direct offerings (“RDOs”)
At-the-market (“ATM”) offerings
Special purpose acquisition companies (“SPACs”)
Private investment in public equity (“PIPE”)
Rule 144A/Regulation S offerings
Direct listings
Other private placements

Debt/Preferred Stock Offerings

High-yield debt
Investment-grade debt
“Baby bonds”
Convertible debt
Preferred stock

In addition to transactional representations, Blank Rome’s attorneys regularly serve as trusted counsel to reporting company clients and audit and special committees.

With a focus on collaboration across disciplines and providing integrated, practical solutions, we advise management teams and boards of directors and special committees on the wide array of corporate governance and regulatory issues they face at crucial points in the company life cycle. These issues range from “early days” guidance on board composition, including leadership structures, director independence, and qualifications, to general securities compliance and disclosure issues, including the preparation and review of their annual reports, quarterly reports, current reports, proxy statements, consent solicitations, and other filings under the Securities Exchange Act of 1934, to high-stakes matters for more mature companies, including proxy contests and shareholder rights issues, white collar defense and investigations, and securities litigation and enforcement.

How We Can Help

What Sets Us Apart

Key Contacts | Team

Team