Capital Markets

Home » Industries » Capital Markets

Kaplan Voekler Cunningham & Frank’s depth of knowledge and track record of transactional success have made it a go-to firm for capital markets clients.

We work with issuers, underwriters, investors and other market participants on a full range of initial and secondary public offerings, debt offerings, exempt offerings, Regulation A-related offerings, convertible debt and other capital-raising financing instruments. We also advise companies, boards and board committees, investors, investment banks, and other key figures on regulatory and compliance issues related to the transactional process.

KVCF is comprised of lawyers with exceptional experience who deliver sophisticated legal advice and strategic business thinking for enterprises from Wall Street to Main Street. Our team develops creative solutions to help clients of varying sizes, allowing them to tap into the potential of the capital markets on terms that make the most sense for their businesses. In addition, our clients turn to us for our innovative financial structuring advice, the depth of our team, and our mastery of the regulatory process.

Our lawyers were key, for instance, in advocating for changes to federal law that helped rewrite Regulation A—a transformative decision by the U.S. Securities and Exchange Commission that allows smaller and mid-size companies to access capital without the regulatory burdens of a full public offering. Our firm is now a leader in advising a broad range of clients on raising capital through Regulation A, with some raising tens of millions of dollars without facing burdensome SEC reporting requirements. 

This attentiveness to the needs of clients and the ability to deliver extraordinary results is at the core of KVCF’s mission. Our capital markets lawyers draw on the experience of our entire team, working across disciplines and calling upon the experience and skills of practitioners in specialized regulatory areas and industries to produce results.

We advise our public company clients on structuring for initial public offerings and follow-ons, reporting and disclosure under the securities laws, and compliance with the corporate governance requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Sarbanes-Oxley Act of 2002, the Securities Exchange Act of 1934, the Securities and Exchange Commission, state law and self-regulatory organizations such as the New York Stock Exchange and the Nasdaq Stock Market. Our experience also includes: 144 transactions and PIPES, tender offers, stock splits, redemptions, and insider trading investigation issues.

KVCF’s lawyers have extensive experience representing issuers and underwriters on all aspects of the offering process. We are adept at navigating state and federal registration processes, carrying out extensive due diligence, and helping negotiate the terms of underwriting agreements. And we help mitigate risks from the earliest stages of an offering. Even before the process begins in earnest, we can help determine which type of offering is best suited for a company at its particular stage of development. 

Our team brings to the table elite capital markets experience and technical legal knowledge and combines it with a level of responsiveness and cost efficiency that reflects our firm’s size and focus. For clients, it means a rare combination of quality and value that helps them achieve their legal and business objectives.

Contact us to discuss how our capital markets lawyers can help you achieve your business goals.

Related Practices

Related Industries