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Corporate Finance, Governance & Securities

Securities

Foster Swift attorneys have extensive experience representing issuers, underwriters, and lenders in offerings of debt, equity, and other financial instruments.  Our clients range from start-ups to small cap publicly-traded companies.  From venture capital financing and private placements to IPOs, our attorneys have the skills and experience required to meet your needs.

Our attorneys frequently advise on numerous federal and state laws, including the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley Act of 2002, the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Michigan Uniform Securities Act (2002), and the rules of various stock exchanges, including the NYSE and NASDAQ.

Specifically, some of our areas of expertise include:

  • Private Placements
  • Registered Offerings
  • Blue Sky Compliance
  • Broker/Dealer Registrations and Compliance
  • SEC Filings, including registration statements and Forms 10-K, 10-Q and 8-K
  • Proxy Solicitations
  • Investment Advisor Registration and Compliance

Corporate Governance

The demands of proper corporate governance have increased in recent years.  Foster Swift attorneys regularly advise public and private companies, boards of directors, and executive officers regarding the entire spectrum of corporate governance issues, including fiduciary duties, shareholder relations, and compliance with federal and state regulations.

Specifically, some of our areas of expertise include:

  • Fiduciary Duties
  • Conflicts of Interest
  • Shareholder Proposals
  • Articles and Bylaws
  • Boards of Directors Nominations
  • Audit Committee Oversight Duties
  • Internal Controls
  • Compensation Committee Duties and SEC Compliance
  • Shareholder Relations

Foster Swift has been named a Tier 1 firm in Corporate Governance Law in Lansing by U.S. News – Best Lawyers® "Best Law Firms" in 2014, 2016 and 2017.

Corporate Finance

Foster Swift has an experienced and skilled corporate finance practice.  Our clients include private and publicly-traded businesses in their roles as borrowers, lenders, investors, buyers, and sellers.  We regularly represent corporations, investment funds, banks, and equity investors in an array of financing transactions.

Specifically, some of our areas of expertise include:

  • Venture Capital and Angel Investment
  • "Going Private" Transactions
  • Mezzanine Financing
  • Traditional Secured and Unsecured Bank Debt
  • Bond Financings
  • Joint Ventures
  • Recapitalizations and Restructurings

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