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Kelly D. Babson



Kelly Babson is a member of Nixon Peabody’s Public Company Transactions group, focusing on the areas of securities law, corporate governance and mergers and acquisitions. Kelly represents pre-IPO and public companies in mergers and acquisitions and public and private offerings of debt and equity securities. She also counsels clients on a wide range of securities law compliance and governance issues and counsels investment advisers and broker-dealers on regulatory and compliance matters.

What do you focus on?

I currently focus on advising public companies on a wide variety of corporate and securities matters, leveraging my experience of over 20 years in the investment industry to help clients achieve their strategic objectives while navigating the increasingly complex regulatory landscape for public companies and investment advisers.

Securities Offerings

I’ve represented clients engaged in a variety of debt and equity financing transactions, including IPOs, public “shelf” offerings, primary and secondary follow-on offerings, private placements and “going private” transactions.

Compliance and Reporting

I currently provide guidance to public companies in a diverse range of industries on SEC compliance and disclosure obligations and act as general corporate and securities law counsel to a variety of issuers, providing advice on all aspects of corporate governance and securities law compliance. In this area, I focus on both compliance with current regulatory requirements and assisting clients with preparing for new and prospective Dodd-Frank requirements in areas such as executive compensation and conflict minerals.

Investment Advisers and Broker-Dealers

For clients in the investment industry, I provide assistance and counsel regarding registration and compliance matters to both U.S. and foreign advisers and broker-dealers.

What do you see on the horizon?

It is increasingly challenging and costly to be a U.S. public company and we are partnering with clients to find creative solutions to these challenges. At the same time, the JOBS Act has opened new avenues for capital-raising and we are focused on helping clients recognize the benefits of these opportunities.

If John Hancock becomes independent, it'll need its next David D’Alessandro

Boston Business Journal | July 17, 2017

In this article about a potential report about John Hancock being spun off from Manulife, Boston public company transactions partner Kelly Babson is quoted discussing what Manulife will need to have a successful IPO if it goes that route vs. a spinoff.

Contact

Kelly D. Babson

Partner

Boston

Phone: 617-345-1036


Fax: 866-884-6675

Boston College Law School, J.D.

New York University Stern School of Business, M.B.A.

Georgetown University, B.A.

Massachusetts

Kelly is a member of the American and Massachusetts bar associations.
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