Robinson Cole LLP
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Capital Markets + Securities

Our Capital Markets + Securities group has comprehensive experience representing issuers, underwriters and placement agents,  investment banks, broker-dealers, institutional and other investors, directors and officers, and other market participants.

Clients, both foreign and domestic, regularly turn to our capital markets & securities team for precise and strategic legal guidance to navigate the complexities of financial markets.

Our highly experienced team handles a wide range of securities matters, including public and private offerings, mergers, proxies, and other change of control and acquisition transactions. Our clients include domestic and international entities, and we have significant experience representing United States and Asian companies in cross-border transactions.

Our clients also rely on us for top-tier services including:

Public + Private Offerings

  • Initial and follow-on public offerings
  • PIPE transactions, reverse mergers, and Alternative Public Offerings (APOs)
  • Secondary offerings and resales of securities in registered offerings and exempt transactions
  • Recapitalizations, reclassifications, reorganizations, spin-offs, split-offs, At-The-Market offerings (ATM), rights offerings, and similar transactions
  • Representation of public and private companies and FINRA member broker-dealers in public and private offerings of equity, debt, and other securities

Stock Exchange Listings + Compliance

  • 1933 Securities Act and 1934 Exchange Act compliance, reporting, and registration
  • Compliance with state securities offering, broker-dealer, and other "blue sky" laws
  • NASDAQ, NYSE, NYSE American, OTCQB, OTCQX and other stock exchange listings
  • Sarbanes Oxley Act (SOX) requirements
  • Securities and Exchange Commission (SEC) rules and regulations

At Robinson+Cole, we are also recognized bond counsel for debt securities, both taxable and tax-exempt, issued by states, state agencies, municipalities, and other government entities.

Our Team

Our team of lawyers has decades of experience representing clients in capital markets and securities matters. We have a lengthy track record of successfully guiding our clients through a multitude of domestic and cross-border transactions, in collaboration with diverse practice groups throughout our firm.

Our attorneys also author articles to inform our clients on significant statutory and regulatory changes impacting their businesses. 

Our Capital Markets + Securities practice group serves and advises all public and private market participants, proficiently managing capital transactions in a compliant and efficient manner.

资本市场 + 证券


我们的资本市场+证券业务团队在代表公司、承销商、配售代理商、投资银行、股票经纪公司、机构和其他投资者、董事高管以及其他市场参与者处理各类公开市场交易方面拥有丰富的经验。

我们的团队能为驾驭金融市场的复杂性提供精确和战略性的法律指导,为国内外客户提供良好的法律服务。

我们的团队在处理广泛的证券交易方面经验丰富,交易类型遍及公开和私募发行、并购交易、股东委托代理以及其他控制权变更事宜。我们在代表国内和国际客户,特别是在代表美国和亚洲公司进行跨境交易方面,拥有丰富的经验。

我们的客户依赖我们提供优质的法律服务,内容包括:

公开和私募发行

  • 首次和后续公开募股
  • 私募股权(PIPE)交易、反向并购和另类公开募股(APO)
  • 注册发行和豁免登记证券的二次发行和转售
  • 资本重组、股权结构变更、公司重组、公司分拆、业务拆分、ATM发行、股票认购权发售和类似交易
  • 代表上市公司和私营公司以及注册证券公司参与股票、债务和其他证券的公开和私募发行
     

证券交易所上市申请和合规

  • 美国《证券法》和《证券交易法》的信息披露、合规和登记注册事宜
  • 遵守各州证券发行、经纪交易和其他“蓝天”法律的合规事宜
  • 纳斯达克交易所、纽约证券交易所、美国证券交易所、场外交易市场OTCQB、OTCQX等上市规则合规事宜
  • 萨班斯-奥克斯利法案 (SOX)合规事宜
  • 美国证券交易委员会(SEC)法律和条例合规事宜

我们的团队

我们的律师团队在代表客户提供关于资本市场和证券事务方面法律服务拥有广泛经验,已成功指导客户完成大量国内和跨境交易。

我们的律师还撰写文章,向我们的客户介绍影响其业务的重大法律和监管变化。 

Experience


Represented Special Purpose Acquisition Corp in IPO

Represented Columbus Acquisition Corp (Columbus), a special purpose acquisition corporation incorporated in the Cayman Islands, in its recent initial public offering. On January 24, 2025, Columbus completed its $60 million IPO of 6,000,000 units at $10 per unit. The units began trading on the Nasdaq Global Market under the ticker symbol “COLAU” on January 23, 2025. 

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Represented Special Purpose Acquisition Corp in IPO

Served as Underwriting Counsel in Diginex Limited IPO

Robinson+Cole’s Capital Markets + Securities group served as counsel to Dominari Securities LLC and Revere Securities LLC, the underwriters, in the initial public offering of 2,250,000 ordinary shares of Diginex Limited, an impact technology business that helps organizations to address Environmental, Social and Governance (ESG), climate and sustainability issues. The shares began trading on the Nasdaq Capital Market under the ticker symbol "DGNX" on January 22, 2025. The offering closed on January 23, 2025.

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Served as Underwriting Counsel in Diginex Limited IPO

Represented Shepherd Ave Capital Acquisition Corp. in IPO

Represented Shepherd Ave Capital Acquisition Corporation (SPHA), a special-purpose acquisition corporation incorporated in the Cayman Islands, in its initial public offering (IPO). On December 6, 2024, SPHA completed its $86.25 million IPO of 8,625,000 units at $10 per unit. SPAC Advisory Partners LLC, a division of Kingswood Capital Partners, LLC, acted as the sole book-running manager for the offering. The units began trading on the Nasdaq Global Market under the ticker symbol “SPHA” on December 5, 2024.

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Represented Shepherd Ave Capital Acquisition Corp. in IPO


Publications


Simplified Roadmap for OTC Markets Quotation teaser
March 25, 2026

Simplified Roadmap for OTC Markets Quotation

Nasdaq Proposes Raising the Continued Listing Market Value Requirement to $5 Million teaser
February 27, 2026

Nasdaq Proposes Raising the Continued Listing Market Value Requirement to $5 Million

New Insider Reporting Requirements for Foreign Private Issuers Under the Holding Foreign Insiders Accountable Act teaser
February 27, 2026

New Insider Reporting Requirements for Foreign Private Issuers Under the Holding Foreign Insiders Accountable Act

Simplified Roadmap for OTC Markets Quotation teaser
March 25, 2026

Simplified Roadmap for OTC Markets Quotation

Nasdaq Proposes Raising the Continued Listing Market Value Requirement to $5 Million teaser
February 27, 2026

Nasdaq Proposes Raising the Continued Listing Market Value Requirement to $5 Million

New Insider Reporting Requirements for Foreign Private Issuers Under the Holding Foreign Insiders Accountable Act teaser
February 27, 2026

New Insider Reporting Requirements for Foreign Private Issuers Under the Holding Foreign Insiders Accountable Act

Nasdaq Implements Accelerated Delisting for Securities Trading Below $0.10 for Ten Consecutive Trading Days teaser
February 27, 2026

Nasdaq Implements Accelerated Delisting for Securities Trading Below $0.10 for Ten Consecutive Trading Days

Legal Update: Final Rule Implementing U.S. Outbound Investments Restrictions Goes into Effect teaser
February 25, 2025

Legal Update: Final Rule Implementing U.S. Outbound Investments Restrictions Goes into Effect

Legal Update: Nasdaq Board Diversity Rules Struck Down in Court teaser
January 17, 2025

Legal Update: Nasdaq Board Diversity Rules Struck Down in Court

Legal Update: SEC Adopts Final Rules Related to SPAC IPOs and De-SPAC Transactions teaser
February 9, 2024

Legal Update: SEC Adopts Final Rules Related to SPAC IPOs and De-SPAC Transactions

Legal Update: The Corporate Transparency Act: Beneficial Ownership Reporting Requirements for Certain Companies Doing Business in the United States teaser
November 3, 2023

Legal Update: The Corporate Transparency Act: Beneficial Ownership Reporting Requirements for Certain Companies Doing Business in the United States

Legal Update: PCAOB Confirms Complete Access to Inspect and Investigate Chinese Auditing Firms teaser
December 16, 2022

Legal Update: PCAOB Confirms Complete Access to Inspect and Investigate Chinese Auditing Firms



Nasdaq Implements Accelerated Delisting for Securities Trading Below $0.10 for Ten Consecutive Trading Days teaser
February 27, 2026

Nasdaq Implements Accelerated Delisting for Securities Trading Below $0.10 for Ten Consecutive Trading Days

Legal Update: Final Rule Implementing U.S. Outbound Investments Restrictions Goes into Effect teaser
February 25, 2025

Legal Update: Final Rule Implementing U.S. Outbound Investments Restrictions Goes into Effect

Legal Update: Nasdaq Board Diversity Rules Struck Down in Court teaser
January 17, 2025

Legal Update: Nasdaq Board Diversity Rules Struck Down in Court

Legal Update: SEC Adopts Final Rules Related to SPAC IPOs and De-SPAC Transactions teaser
February 9, 2024

Legal Update: SEC Adopts Final Rules Related to SPAC IPOs and De-SPAC Transactions

Legal Update: The Corporate Transparency Act: Beneficial Ownership Reporting Requirements for Certain Companies Doing Business in the United States teaser
November 3, 2023

Legal Update: The Corporate Transparency Act: Beneficial Ownership Reporting Requirements for Certain Companies Doing Business in the United States

Legal Update: PCAOB Confirms Complete Access to Inspect and Investigate Chinese Auditing Firms teaser
December 16, 2022

Legal Update: PCAOB Confirms Complete Access to Inspect and Investigate Chinese Auditing Firms


News


March 30, 2026

Robinson+Cole Serves as U.S. Counsel to D. Boral Capital, the Sole Book-Running Manager in FMAC IPO

Robinson+Cole’s Capital Markets + Securities group represented D. Boral Capital LLC, the sole book-running manager in the initial public offering of Future Money Acquisition Corporation (FMAC), a special purpose acquisition company incorporated in the Cayman Islands. D. Boral Capital is a relationship-driven global investment bank headquartered in New York City, dedicated to delivering strategic advisory and tailored financial solutions to middle-market and emerging growth companies. On March 30, 2026, FMAC completed its $112 million IPO of 11,200,000 units at $10 per unit. The units began trading on the Nasdaq Global Market under the ticker symbol “FMACU” on March 27, 2026. The team advising on the offering was led by Capital Markets + Securities group partner Arila Zhou and included members Ze’-ev Eiger and Shuqi Mao. Read the press release, here.

Globe Newswire
March 11, 2026

Robinson+Cole Lawyers Named to Elite City Focus Guides in Connecticut, New York City + Philadelphia

Legal 500
March 2, 2026

Capital Markets + Securities Group Represents A.G.P./Alliance Global Partners as Sole Book-Running Manager in APEX Tech Acquisition Inc.'s Initial Public Offering of $111.97 Million 

Globe Newswire
March 30, 2026

Robinson+Cole Serves as U.S. Counsel to D. Boral Capital, the Sole Book-Running Manager in FMAC IPO

Robinson+Cole’s Capital Markets + Securities group represented D. Boral Capital LLC, the sole book-running manager in the initial public offering of Future Money Acquisition Corporation (FMAC), a special purpose acquisition company incorporated in the Cayman Islands. D. Boral Capital is a relationship-driven global investment bank headquartered in New York City, dedicated to delivering strategic advisory and tailored financial solutions to middle-market and emerging growth companies. On March 30, 2026, FMAC completed its $112 million IPO of 11,200,000 units at $10 per unit. The units began trading on the Nasdaq Global Market under the ticker symbol “FMACU” on March 27, 2026. The team advising on the offering was led by Capital Markets + Securities group partner Arila Zhou and included members Ze’-ev Eiger and Shuqi Mao. Read the press release, here.

Globe Newswire
March 11, 2026

Robinson+Cole Lawyers Named to Elite City Focus Guides in Connecticut, New York City + Philadelphia

Legal 500
March 2, 2026

Capital Markets + Securities Group Represents A.G.P./Alliance Global Partners as Sole Book-Running Manager in APEX Tech Acquisition Inc.'s Initial Public Offering of $111.97 Million 

Globe Newswire
February 13, 2026

Capital Markets + Securities Group Represents Maxim Group as Sole Book-Running Manager in XFLH Capital Corporation IPO

GlobeNewswire
January 5, 2026

Robinson+Cole Promotes New Partners and Counsel in Strategic Practices and Markets

Firm names three partners and eight counsel in New York, Boston, Hartford, Providence, and Stamford
December 11, 2025

Capital Markets + Securities Group Represents JM Group Limited in IPO

November 14, 2025

Robinson+Cole Secures Top Rankings in 2026 Edition of Best Law Firms®

Firm earns 6 national and 46 first-tier rankings in Boston, Hartford, New York, Rhode Island, and Stamford Markets
Robinson+Cole Secures Top Rankings in 2026 Edition of Best Law Firms® teaser
October 24, 2025

Capital Markets + Securities Group Represents Harvard Ave Acquisition Corporation in IPO

Globe Newswire
October 22, 2025

Capital Markets + Securities Group Represents D. Boral Capital LLC as Sole Book-Running Manager in BGIN Blockchain Limited IPO

Globe Newswire
Capital Markets + Securities Group Represents D. Boral Capital LLC as Sole Book-Running Manager in BGIN Blockchain Limited IPO teaser

February 13, 2026

Capital Markets + Securities Group Represents Maxim Group as Sole Book-Running Manager in XFLH Capital Corporation IPO

GlobeNewswire
January 5, 2026

Robinson+Cole Promotes New Partners and Counsel in Strategic Practices and Markets

Firm names three partners and eight counsel in New York, Boston, Hartford, Providence, and Stamford
December 11, 2025

Capital Markets + Securities Group Represents JM Group Limited in IPO

November 14, 2025

Robinson+Cole Secures Top Rankings in 2026 Edition of Best Law Firms®

Firm earns 6 national and 46 first-tier rankings in Boston, Hartford, New York, Rhode Island, and Stamford Markets
Robinson+Cole Secures Top Rankings in 2026 Edition of Best Law Firms® teaser
October 24, 2025

Capital Markets + Securities Group Represents Harvard Ave Acquisition Corporation in IPO

Globe Newswire
October 22, 2025

Capital Markets + Securities Group Represents D. Boral Capital LLC as Sole Book-Running Manager in BGIN Blockchain Limited IPO

Globe Newswire
Capital Markets + Securities Group Represents D. Boral Capital LLC as Sole Book-Running Manager in BGIN Blockchain Limited IPO teaser