ABOUT US OFFICES PROFILES SOLUTIONS NEWS & EVENTS PUBLICATIONS EMPLOYMENT CONTACT US Corporate and Securities Home / Corporate and Securities For more than 25 years, attorneys within the Securities law practice at Ryley Carlock & Applewhite have been involved in the legal aspects of the private and public sale of securities. Our Securities lawyers are experienced in initial public offerings, secondary offerings, all forms of filings under the Securities Exchange Act of 1934, and compliance with SEC reporting requirements, and the securities law aspects of mergers and acquisitions. Attorneys within our Securities law practice are continuously involved in handling private placements of debt and equity securities for start-up and existing businesses. Our work includes real estate syndications, debt and equity offerings by technology related companies, as well as the creation of stock incentive programs for management and the negotiation of venture capital financing. Ryley Carlock & Applewhite Securities attorneys have experience in various types of debt financing and offerings and routinely represent both issuers of industrial revenue bonds and owners seeking industrial revenue financing for their projects. In addition, our Securities lawyers have been actively involved in the public securities market, including preparing and executing all legal work necessary for initial public offerings, for secondary public offerings, and for reporting under the Securities and Exchange Act of 1934, including Forms 10, 10-K, 10-Q, 8-K, and all related filings. Our practice group also assists issuers in the preparation of annual reports and proxy solicitation matters. We have experience in counseling company owners in strategic planning prior to public offerings, including estate planning considerations, and in handling both friendly and hostile takeovers and stock buy-backs. In addition, our we are experienced in handling questions concerning insider trading under both Section 10b and Section 16 of the Securities Exchange Act of 1934. We routinely consult with the Compensation and Audit Committees of the Board of Directors of publicly held companies with respect to the responsibilities of those committees. SOLUTIONS RELATED ATTORNEYS Jessica Benford Powell James E. Brophy Patrick P. Degnan Clarke H. Greger RELATED NEWS Ryley Carlock & Applewhite Named to 2022 "Best Law Firms" in 17 Categories Phoenix – Ryley Carlock & Applewhite is pleased to announce that our firm has been listed by the + READ MORE 10 Ryley Carlock & Applewhite Attorneys Ranked in the 2022 Edition of The Best Lawyers in America® Ryley Carlock & Applewhite is pleased to announce that 10 attorneys have been recognized in the + READ MORE Five Ryley Carlock & Applewhite Attorneys Ranked in the 2021 Edition of Chambers USA Ryley Carlock & Applewhite is pleased to announce that three practices and five attorneys have been + READ MORE RELATED PUBLICATIONS The Regulatory Lines Between Vaping and Cigarettes Are About to Narrow Again—Here's What You Need to Know About the Updated PACT Act Small Businesses Are About To Get An Exclusive Window In Which To File PPP Applications The COVID-19 Pandemic and Your Company's Corporate Disclosures: Key Takeaways from the SEC's Recently Issued Guidance Healthy Habits for You and Your Company: File Your Annual Reports, Replace Your Air Filters, and Renew Your DMCA Agent Registration Arizona House of Representatives Proposes New Privacy Law My Business Is In Arizona, Why Do I Care About California Privacy Laws? How the CCPA Impacts Arizona Businesses Charitable Remainder Trusts: A Viable Strategy for Building Wealth, Maximizing Tax Deductions, and Supporting a Beloved Charity Potential Limitations on Gift Tax Strategies Coming Soon Crowdfunding Gets Local: What Entrepreneurs and Start-Ups Need to Know to Capitalize on Exemptions for Intrastate Crowdfunding in Arizona and Colorado RELATED EVENTS Legal Perspectives: Whistleblower Protections, CEO Pay Ratio Disclosure and JOBS Act Update COPYRIGHT © 2021 - RYLEY CARLOCK & APPLEWHITE. A PROFESSIONAL CORPORATION. ALL RIGHTS RESERVED. Arizona | Colorado