Securities Law 

Raising capital in a marketplace controlled by complex regulations is a critical problem for many businesses. Bose McKinney & Evans experience with capital markets can generate innovative solutions.

We represent issuers of common and preferred stock, debentures, bonds, convertible instruments, options, warrants and other specialized instruments. Our clients range from small companies issuing stock to a few investors, to large corporations making public offerings through syndicates of national underwriters. We have assisted clients in privately placing limited partnership interests, and others with becoming listed on the New York Stock Exchange. We also represent broker/dealers and underwriters involved in private and public sales of securities.

Frequently Asked Questions Regarding Securities Law and Initial Public Offerings

After our clients have entered the public market, we help them comply with SEC, stock exchange and other regulations concerning proxy solicitations, annual, quarterly and special reports, insider trading, press releases and other regulated aspects of corporate activity. Our involvement in drafting the Indiana securities statute has also given us a special understanding of Indiana's securities laws.

Our attorneys have assisted numerous clients with securities law issues. For example, we served

• As counsel for an expanding national conglomerate in a successful effort to convince the SEC to adopt a special rule exempting the company from extensive securities reporting requirements.
• As counsel for an established company needing capital to buy assets. We worked with company officers to improve the company's capital structure, prepared materials for a public offering, negotiated with high level staff of the SEC over the applicability of extensive new disclosure rules that would have delayed offering, and completed the offering to raise the needed funds. And we also arranged for the shares to be listed on the New York Stock Exchange to enhance the market for the company's shareholders.