Extensive knowledge of federal and state securities laws is an important part of the business law services Verrill offers our clients. Securities laws regulate the manner and terms upon which companies seek capital from investors, ranging from a startup company's offering to angel investors to a public company's offering through an SEC shelf registration. Securities laws also impose extensive, complex regulations on a diverse set of financial industry players.

Our securities lawyers have extensive experience representing venture capital firms, private equity firms, angel investors, and issuers in negotiating and documenting investments in privately held companies. Our attorneys also advise private companies and their owners on capitalization issues, governance matters, and steps to be taken in contemplation of a liquidity event, whether as an acquisition target, private equity investment or rollup, employee stock ownership plan (ESOP) transaction, or an initial public offering (IPO).

Members of the Business Law Group also represent issuers and selling stockholders in registered public offerings of equity or debt securities, such as through IPOs, employee stock option plans, or follow-on offerings. We have extensive experience advising publicly held companies on SEC reporting obligations, including design and preparation of proxy statements and of periodic reports on Forms 10-K and 10-Q; disclosure of current developments on Form 8-K; the effect of Regulation FD on other public statements by issuers; regulation of tender offers; stock exchange requirements on board and committee composition; insider trading prohibitions and short-swing trading regulation; SEC comment letter responses and internal investigations; and planning for stock repurchases and other transactions by issuers and their affiliates.

Verrill's securities lawyers provide regulatory and compliance counseling to a broad array of broker-dealers, investment advisors, registered investment companies, and private funds. We also advise individuals who serve as registered representatives, investment advisor representatives, and control persons of financial services firms.

Regulatory and compliance matters handled by our team include:

  • Organization and registration of startup entities to engage in investment advisory or broker-dealer activities in the U.S., including organization of such entities on behalf of non-U.S. parent companies in the financial industry.
  • Advice and legal opinions on various securities law issues arising for specialty players within the securities industry, including third-party marketers.
  • Design, preparation, and updating of written supervisory procedures and policy manuals for investment advisors, broker-dealers, municipal securities dealers, and hedge funds and other private investment funds.
  • Coordination of responses to regulatory examinations and civil or criminal investigations by the SEC, FINRA, NYSE, CFTC, State Securities Administrators, banking regulators, and other relevant regulatory agencies.
  • Defense of firms and individuals in criminal proceedings or civil trials involving allegations of serious misconduct under applicable regulations and criminal statutes.

The leaders of our securities team are well-respected authorities on corporate governance and transactional law. This team complements the firm's securities law practice and enables Verrill to advise clients on the most complex acquisition, financing, and restructuring transactions.

Firm Highlights

News

Eugene Ho Named “Go To Business Lawyer” by Massachusetts Lawyers Weekly List

(February 8, 2021) – Verrill attorney Eugene Ho was honored as a “Go To Business Lawyer” by Massachusetts Lawyers Weekly . The inaugural list, which is part of the publication’s new “Massachusetts Go To...

Event

2021 Employment Law Annual Update Series: Part Three

Join us for the third part of our 2021 Employment Law Annual Update! The virtual series will continue through the year on the third Thursday of each month . This year, we are taking...

Publication/Podcast

Finding Teeth in Massachusetts' Prompt Payment Act

In Tocci v. IRIV Partners, LLC, Boston Harbor Industrial Development LLC and Hudson Insurance Co. (November 19, 2020, Sup. Ct. 19-405), the Massachusetts Superior Court granted summary judgment on a contractor’s breach of contract...

News

Verrill Welcomes Health Care Attorney Alicia Siani

(February 2, 2021) – Verrill is pleased to welcome health care attorney Alicia Siani to the firm’s Boston, Massachusetts office. Siani represents clients in a wide range of regulatory issues, including HIPAA privacy matters...

Publication/Podcast

Massachusetts Health Care Bill Makes Several Significant Changes

While you were celebrating the New Year, Governor Baker signed Chapter 260 of the Acts of 2020, an “Act promoting a resilient health care system that puts patients first,” the result of the Legislature’s...

Matter

Swift Current Energy

Verrill represents the 100-megawatt Three Rivers Solar Project in Hancock County, Maine. Verrill assists the project with real estate and environmental permitting work, including negotiation of a protocol to allow the project to proceed...

Event

COVID Vaccine and Employee Policies: An Employment Law Perspective

Join MP and Verrill attorney Tawny Alvarez on March 4 for COVID Vaccine and Employee Policies: An Employment Law Perspective. Get the legal perspective on COVID vaccination employee policies. This webinar will address how...

Blog

IRS Notice 2021-15 Provides Clarity Regarding FSA Relief Available Under Consolidated Appropriations Act

Section 214 of the Consolidated Appropriations Act, 2021 (CAA) provides a substantial amount of flexibility for the operation of health and dependent care Flexible Spending Accounts (FSAs). The CAA did, however, leave many open...

Blog

Are You Paying Attention to your Classifications?

DOL Scraps Trump-era Interpretative Letters and 60,000 U.K. Uber Drivers Entitled to Worker Benefits It has been a big day for changes on the worker classification front. In the last 24 hours, Britain’s highest...

Matter

Longroad Energy

Verrill represents Longroad Energy (“Longroad”) on its renewable energy work in Maine. Longroad is a Boston, MA-headquartered renewable energy company that develops and operates wind and solar energy projects throughout North America. Verrill has...

Contact Verrill at (855) 307 0700