Capital Markets

Dickinson Wright represents public and private companies, boards, special committees, investors, and financial intermediaries in sophisticated capital markets and strategic transactions across the United States and internationally.

Our attorneys understand that successful transactions require more than technical execution. They demand practical judgment regarding timing, disclosure, regulatory positioning, market conditions, and investor dynamics.

We advise clients on securities offerings, exchange listings, financing transactions, restructurings, and strategic corporate events, including transformative matters such as uplist transactions, recapitalizations, reverse stock splits, distressed financings, going-public transactions, and strategic alternatives reviews.

Capital Markets & Financing Transactions

• Registered securities offerings
• Shelf registrations and WKSI matters
• PIPEs and structured financings
• Convertible securities and convertible notes
• Equity lines and standby equity facilities
• Rights offerings
• Debt financings and hybrid structures
• Broker-dealer and placement agent matters
• Cross-border offerings and Regulation S transactions

SEC Disclosure & Reporting

• Form 10-K, 10-Q, and 8-K reporting
• Proxy statements and annual meeting matters
• Disclosure controls and procedures
• Regulation FD compliance
• ESG and evolving disclosure requirements
• Shareholder activism preparedness
• Crisis and special situation disclosure advice

Public Company Advisory

We regularly counsel public companies on governance, compliance, and strategic corporate matters, including:

• Nasdaq and NYSE listing compliance and hearings
• Bid price deficiencies, market value, and stockholders’ equity requirements
• Listing applications and uplist transactions
• Reverse stock splits and recapitalizations
• Shareholder approval requirements under exchange rules
• Board and committee governance matters
• Fiduciary duty counseling
• Internal investigations and special committee matters
• Securities litigation readiness and support

Cross-Practice Coordination

Our securities attorneys work closely with lawyers across the firm to deliver integrated legal solutions involving:

• Digital assets and blockchain
• Life sciences and biotechnology
• Artificial intelligence and emerging technologies
• Banking and financial services
• Intellectual property
• Employment matters
• Litigation and enforcement
• Regulatory and government affairs