Public Companies and Securities

  • Holland & Knight's Public Companies and Securities Team serves as general and special counsel to public companies with securities listed on the New York Stock Exchange, Nasdaq and various foreign exchanges.
  • Our team guides clients through a full range of capital-raising transactions, including public offerings and private placements of equity offerings and debt securities.
  • We offer comprehensive legal representation to our public company clients, including SEC reporting and regulatory compliance, corporate governance, mergers and acquisitions and executive compensation.


Your business requires lawyers who are well versed in the full spectrum of all legal issues facing public companies. With a focus on public company work – including extensive experience in the securities offerings and regulation, mergers and acquisitions, corporate governance, taxation and employment benefits arenas – our integrated practice team is responsive and precise in addressing your needs.

Advising a Diverse Client Base Informs Our Counsel to You

Holland & Knight’s public company roster includes Fortune 500 as well as smaller and mid-size issuers. We also represent underwriters, private equity funds, placement agents and venture capital firms in capital-raising transactions. Additionally, we advise across a broad range of industries, with clients in the communications, defense, employment, energy, healthcare, technology, transportation, hospitality, agriculture and banking sectors, among others.

Industry Involvement

The Public Companies and Securities Practice includes members who have served as counsel to numerous public companies, special committees and audit and compensation committees, attorneys with the U.S. Securities and Exchange Commission (SEC), and as members of university and professional securities associations.

Comprehensive Services for Public and Private Companies

Our approach is results-oriented – whether you are a public or private company involved in a domestic or international securities offering, a public company seeking advice on securities law or regulatory compliance matters, or in need of counsel for a capital markets transaction. The team at Holland & Knight offers comprehensive services representing your needs in the following areas:

  • initial public offerings (IPOs) and follow-on offerings
  • all stages of public company mergers and acquisitions
  • reviewing and commenting on SEC filings, including proxy statements, 10-Ks, 10-Qs and 8-Ks
  • reviewing press releases and other materials for both effective communication and compliance with securities regulations
  • every aspect of securities transactions in markets around the globe – in addition to offerings, this includes proxy solicitations, general disclosure compliance, tender and exchange offers, and responding to insurgent shareholders
  • corporate governance matters, from litigation avoidance to best practices, including director and officer indemnification issues
  • advising our clients on Rule 144, Section 16, Section 13 and similar issues
  • all securities-related tax matters, including the issuing of tax opinions in connection with offerings and mergers and acquisitions
  • structuring all types of employee benefit plans for new and existing public companies
  • evaluating, negotiating and advising on the enforcement of directors and officers management liability insurance policies
  • acting as outside general counsel to private equity and venture capital firms during their formation, and in connection with portfolio investment and divestiture transactions

Putting Our Industry Relationships to Work for You

Ultimately, our aim is to keep you informed of the latest market trends and opportunities, and to help you steer past regulatory hurdles in cross-border and other intricate transactions. To do this, we leverage our longstanding contacts in the financial community – including market regulators, private equity, venture capital, public accounting and investment banking firms, and financial institutions throughout the United States, Europe and Latin America.


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