Underwriter's Counsel and Lender's Counsel

As disclosure requirements grow increasingly nuanced and infrastructure financing accelerates across a volatile market, Stradling delivers strategic guidance that transforms compliance challenges into competitive advantages for investment banks and private lenders. Our Underwriter’s Counsel team brings comprehensive knowledge of the evolving regulatory landscape to each engagement, addressing the growing complexity of disclosure requirements and heightened scrutiny from regulatory bodies. As market unpredictability continues to shape the municipal securities landscape, we maintain a steadfast commitment to protecting underwriters’ interests while facilitating efficient capital market access.

Our team works closely with underwriters throughout the entire transaction process, conducting thorough due diligence reviews, drafting precise bond purchase agreements, and analyzing official statements for compliance with federal securities laws. We collaborate effectively with all transaction participants to address potential disclosure issues before they materialize—all while maintaining clear communication channels with our clients. Of course, our team remains current with evolving SEC and MSRB regulations, ensuring underwriters fulfill their obligations in this dynamic regulatory environment.

We bring substantial value to serving as underwriter’s counsel through our deep understanding of market practices and regulatory requirements. We provide practical solutions that balance legal requirements with business objectives, helping underwriters navigate complex transactions while managing risk appropriately. The depth of our public finance experience is extensive and allows us to anticipate potential issues and address such problems proactively, resulting in smoother execution and more successful outcomes for underwriters.

We guide underwriters through:

• Drafting and reviewing offering documents that comply with federal anti-fraud provisions
• Preparing bond purchase agreements that appropriately allocate risk among transaction parties
• Advising on continuing disclosure obligations and compliance with Rule 15c2-12
• Conducting thorough due diligence to verify material information about issuers and projects
• Analyzing complex financing structures to evaluate regulatory compliance