Securities & Corporate Finance

Foley’s Transactions attorneys help execute securities offerings and assist with SEC and exchange regulation compliance.
Our Transactions attorneys regularly represent issuers, underwriters, and investors in public and private securities transactions in the United States and in foreign markets, ranging from venture capital seed funding for emerging companies to significant public equity and debt offerings for large public companies. We have extensive experience in a variety of securities transactions involving equity, debt and convertible securities, and derivative and hybrid financial products.

Our attorneys work closely with you on disclosure, registration, listing, enforcement, and other matters. In addition, we use our significant experience with regulatory and enforcement agencies to provide you with valuable counsel on important interpretive and procedural issues. We offer sophisticated and timely advice regarding the many issues that arise from recent or pending changes in securities law, accounting rules, and other regulations. 

We also focus on participants in the financial markets, such as broker-dealers, hedge funds, exchanges, commodities-futures merchants, commodity pool operators, insurance companies, investment companies, investment advisers, and technology providers. We have one of the largest practices of this type in the country. With decades of experience representing participants in the world's capital markets, we understand the importance of “speed to the market.” We are committed to providing clients with practical and timely advice on the wide range of legal and compliance matters that affect the financial services industry. 

Our broad range of securities and corporate finance services are listed below.

Representative Matters

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Represented Oppenheimer & Co. in a rights offering by Great Elm Capital Group.
Foley represented Robert W. Baird & Co. Incorporated in the secondary offering of common stock by Roadrunner Transportation Systems, Inc.
In January 2014, Dainippon Sumitomo Pharma Co., Ltd entered into an agreement with Edison Pharmaceuticals, Inc. ("Edison") that amends the license agreement between the two companies relating to EPI-743 and EPI-589, which are therapeutic agents under development for mitochondrial disease. On the same date, a joint research agreement for discovery of novel candidate pharmaceutical compounds targeting cellular energy metabolism and a stock purchase agreement relating to DSP’s purchase of an equity interest in Edison were also entered into. Foley & Lardner LLP client Dainippon Sumitomo Pharma Co., Ltd. manufactures and sells pharmaceuticals, food ingredients, food additives, veterinary medicines, diagnostics, and others in Japan, China, North America, and internationally. The company offers various pharmaceutical products and develops and sells ingredients and additives and offers veterinary medicines for companion animals, including dogs and cats; and farm animals, such as cattle, swine, horses, and cultured fish. Additionally, the company develops point-of-care testing diagnostic products for infectious diseases. The company was founded in 1897 and is headquartered in Osaka, Japan. Dainippon Sumitomo Pharma Co., Ltd. operates as a subsidiary of Sumitomo Chemical Co., Ltd. Edison Pharmaceuticals is a biotechnology company based on the discovery and development of low-molecular therapeutic drugs for the treatment of Mitochondrial disease. Founded in 2006, it is headquartered in Mountain View, California, USA.

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