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In The News

Frederick G. Attea Comments on Potential IPO for GlobalFoundries  More

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Press Releases

Sixty Eight Phillips Lytle LLP Attorneys Named to the 2017 Upstate New York Super Lawyers® List  More

Sixty Phillips Lytle LLP Attorneys Named to the 2016 Upstate New York Super Lawyers® List  More

Benjamin M. Farber and Deborah A. Doxey Address New York State Bar Association Business Law Section Annual Meeting  More

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At Phillips Lytle, we advise our clients about the requirements of federal and state securities laws, and the application of those laws to domestic and international securities transactions. This experience extends to representing clients in initial public offerings, secondary offerings, registered debt offerings and other public and private securities issuances, as well as in corporate transactions that are affected by the requirements of securities laws. Our attorneys provide advice regarding an array of securities law issues, including:

  • Compliance with the registration and disclosure requirements of the federal securities laws in connection with securities offerings, as well as assistance with related stock exchange listing requirements and any arrangements with underwriters
  • Structuring securities offerings in venture capital transactions, mergers and acquisitions and other contexts, to comply with “private placement” and other exemptions from registration under federal and state securities laws
  • Assisting publicly held companies with the full array of disclosure and compliance issues they face, including:
    • Public reporting under the Securities Exchange Act of 1934
    • Corporate governance matters, including stock exchange requirements, implementing emerging best practices and complying with the Sarbanes-Oxley Act
    • Insider trading and Section 16 ownership reporting
    • Shareholder meetings and other shareholder relations issues, including proxy statements and proxy solicitations
  • Preparing stock option plans, other securities-based employee benefit plans, warrants and other derivative securities and advising clients regarding issues relating to those plans and securities
  • Advising clients about the requirements of the Investment Company Act of 1940, and qualifying for various exemptions from it
  • Addressing broker-dealer and investment advisor registration and compliance issues

Frederick G. Attea

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