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Securities Law

Kerr Russell represents clients in various aspects of federal and state securities laws and compliance. The firm advises clients on a broad array of securities matters ranging from registered offerings and private placements of securities, to reverse merger acquisitions, to issues affecting boards of directors, audit and other board committees and corporate officers.

Our attorneys regularly advise our securities clients on:

  • Angel, mezzanine and venture capital financing
  • Executive compensation structuring and disclosure
  • Financial reporting and restatement
  • Sarbanes-Oxley compliance
  • Section 16 reporting for insiders, including filings on Forms 3, 4 and 5
  • Insider trading
  • Current and periodic reporting issues, including filings on Forms 8-K, 10-Q and 10-K
  • Business communications and Regulation FD compliance
  • Proxy statement disclosure
  • Annual shareholder meeting preparation
  • Exchange listing requirements and compliance
  • Corporate governance and investigations including stock option backdating
  • State blue sky law regulation
  • Reverse merger acquisitions
  • Private placement offerings
  • Placement agent agreements
  • Registered offerings
  • Private Equity
  • Compliance
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