dcsimg Securities Compliance

Securities Compliance

Our more than 50 securities compliance lawyers provide experienced guidance and counsel to companies of all sizes, from Fortune 500 organizations to smaller reporting companies. Because many of our lawyers have more than 10 years of experience, our representation draws on judgment that can only come from advising companies of different sizes and complexities day in and day out.

We assist companies listed on various exchanges including NASDAQ, the NYSE, AMEX and AIM. We work with clients in a range of industries, notably consumer products, energy, financial services, hospitality, manufacturing, retail, technology and transportation, and understand the industry-specific issues that affect our clients and their required reporting.

The firm’s securities compliance lawyers assist registrants with their regular reporting obligations under the Securities Exchange Act of 1934, including forms 10-K, 10-Q, 8-K and DEF 14A (proxy statement), as well as assistance with Regulation FD and Regulation G compliance. In addition to such routine filings, we assist clients with the implementation of new rules and listing requirements and on more complex issues, including hostile tender offers, consent solicitations and contested board elections. The result of the volume of work we handle and the diversity of industry-specific issues we address translates to unique best practices and intellectual capital that is available to all of our securities compliance clients.

Our securities compliance lawyers also assist clients with corporate governance matters, including advising boards and registrants with respect to Sarbanes Oxley and Dodd-Frank compliance.

CONTACTS

Richard W. Viola Partner T: +1 704 343 2149
Jane Whitt Sellers Partner T: +1 704 373 8967
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Karen J Adams Karen J. Adams
Associate
201 North Tryon Street
Suite 3000
Charlotte, NC 28202-2146

T: +1 704 373 8854
F: +1 704 353 6173
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James M Anderson III James M. Anderson III
Partner
One James Center
901 East Cary Street
Richmond, VA 23219-4030

EQT Plaza
625 Liberty Avenue
23rd Floor
Pittsburgh, PA 15222-3142

T: +1 804 775 1044
F: +1 804 698 2155
vCard

T:+1 412 667 7918
F: +1 804 698 2155

Kevin Boardman J. Kevin Boardman
Partner

T: +1 214 593 7139
F: +1 214 273 7499
vCard
Stephanie K Briggs Evans Stephanie K. Briggs Evans
Partner
201 North Tryon Street
Suite 3000
Charlotte, NC 28202-2146

T: +1 704 343 2249
F: +1 704 444 8711
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Thomas William Bruno Thomas William Bruno
Associate
One James Center
901 East Cary Street
Richmond, VA 23219-4030

T: +1 804 775 1853
F: +1 804 440 7731
vCard
Robert L Burrus Jr. Robert L. Burrus Jr.
Counsel
One James Center
901 East Cary Street
Richmond, VA 23219-4030

T: +1 804 775 4306
F: +1 804 698 2023
vCard
Boyd C Campbell Jr Boyd C. Campbell Jr
Counsel
201 North Tryon Street
Suite 3000
Charlotte, NC 28202-2146

T: +1 704 343 2030
F: +1 704 444 8715
vCard
Jeffrey R Capwell Jeffrey R. Capwell
Partner
201 North Tryon Street
Suite 3000
Charlotte, NC 28202-2146

T: +1 704 353 6256
F: +1 704 373 8823
vCard
Andrew J Cataldo Andrew J. Cataldo
Partner
Promenade
1230 Peachtree Street, N.E.
Suite 2100
Atlanta, GA 30309-3534

T: +1 404 443 5725
F: +1 404 443 5795
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Larry J Dagenhart Larry J. Dagenhart
Counsel
201 North Tryon Street
Suite 3000
Charlotte, NC 28202-2146

T: +1 704 343 2010
F: +1 704 444 8725
vCard
Katherine K DeLuca Katherine K. DeLuca
Associate
One James Center
901 East Cary Street
Richmond, VA 23219-4030

T: +1 804 775 4385
F: +1 804 698 2084
vCard
Jon Finger Jon W. Finger
Partner

T: +1 214 593 7142
F: +1 214 273 7499
vCard
Julianna Lowe Julianna Lowe French
Partner
201 North Tryon Street
Suite 3000
Charlotte, NC 28202-2146

T: +1 704 343 2296
F: +1 704 444 8850
vCard
Taylor Wedge French Taylor Wedge French
Partner
201 North Tryon Street
Suite 3000
Charlotte, NC 28202-2146

T: +1 704 373 8037
F: +1 704 373 8838
vCard
Steven Geerlings Steven Geerlings
Partner
11 Pilgrim Street
London EC4V 6RN
United Kingdom

T: +44 20 7632 1731
F: +44 20 7632 1638
vCard
Ryan Giggs Ryan E. Giggs
Associate
JPMorgan Chase Tower
600 Travis Street
Suite 7500
Houston, TX 77002-2906

T: +1 713 353 6682
F: +1 832 214 9936
vCard
Rakesh Gopalan Rakesh Gopalan
Partner
201 North Tryon Street
Suite 3000
Charlotte, NC 28202-2146

T: +1 704 343 2275
F: +1 704 805 5026
vCard
Meredith E Green Meredith E. Green
Associate
201 North Tryon Street
Suite 3000
Charlotte, NC 28202-2146

T: +1 704 343 2082
F: +1 704 444 8816
vCard
Mark Griffith W. Mark Griffith
Partner
434 Fayetteville Street
Suite 2600
Raleigh, NC 27601

T: +1 919 755 6616
F: +1 919 755 6587
vCard
Nova D Harb Nova D. Harb
Associate
Bank of America Tower
50 North Laura Street
Suite 3300
Jacksonville, FL 32202-3661

T: +1 904 798 2639
F: +1 904 798 3260
vCard
Elizabeth A Hinshaw Elizabeth A. Hinshaw
Associate
201 North Tryon Street
Suite 3000
Charlotte, NC 28202-2146

T: +1 704 373 8952
F: +1 704 373 8851
vCard
John Hoke John B. Hoke
Associate
201 North Tryon Street
Suite 3000
Charlotte, NC 28202-2146

T: +1 704 343 2272
F: +1 704 444 8835
vCard
Fred T Isaf Fred T. Isaf
Partner
Promenade
1230 Peachtree Street, N.E.
Suite 2100
Atlanta, GA 30309-3534

T: +1 404 443 5712
F: +1 404 443 5766
vCard
William D James William D. James
Senior Counsel
One James Center
901 East Cary Street
Richmond, VA 23219-4030

T: +1 804 775 1040
F: +1 804 698 2179
vCard
Anne Team Kelly Anne Team Kelly
Counsel
201 North Tryon Street
Suite 3000
Charlotte, NC 28202-2146

T: +1 704 343 2022
F: +1 704 444 8784
vCard
Results 1-20 of 41
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Event

SEC Compliance and Disclosure Update

Tuesday, April 22, 2014
Complimentary Webinar Series
Event

SEC Compliance and Disclosure Update

February 25, 2014
Complimentary Webinar Series
Event

SEC Compliance and Disclosure Update

January 28, 2014
McGuireWoods LLP SEC Practice Complimentary Webinar Series
Speaking Engagement

Reform and Regulation of Derivative Transactions

American Conference Institute’s 2nd National Advanced Summit

January 14-15, 2014
Washington, DC
Event

SEC Compliance and Disclosure Update

November 19, 2013
McGuireWoods LLP SEC Practice Complimentary Webinar Series
Event

SEC Compliance, Disclosure and Enforcement Update

October 22, 2013
McGuireWoods LLP SEC Practice Complimentary Webinar Series
Event

SEC Compliance and Disclosure Update

September 24, 2013
McGuireWoods LLP SEC Practice Complimentary Webinar Series
Event

A Two-Day Corporate Governance & Compliance Directors Institute

What You Need to Know About Governance Today

June 13-14, 2013
New York, NY
Event

SEC Compliance and Disclosure Update

June 4, 2013
McGuireWoods LLP SEC Practice Complimentary Webinar Series
Event

SEC Compliance and Disclosure Update

April 23, 2013
McGuireWoods LLP SEC Practice Complimentary Webinar Series
Event

SEC Compliance and Disclosure Update

March 28, 2013
McGuireWoods LLP SEC Practice Complimentary Webinar Series
Event

SEC Compliance and Disclosure Update

February 26, 2013
McGuireWoods LLP SEC Practice Complimentary Webinar Series
Event

SEC Compliance and Disclosure Update

January 22, 2013
McGuireWoods LLP SEC Practice Complimentary Webinar Series
Speaking Engagement

The DealFlow Conference 2012

General Solicitation & The JOBS Act

December 18, 2012
New York, NY
Event

SEC Compliance and Enforcement Update

Preparing for the 2013 Proxy and Annual Reporting Season

November 15, 2012
McGuireWoods LLP SEC Practice Complimentary Webinar Series
Event

SEC Compliance and Enforcement Update

October 23, 2012
McGuireWoods LLP SEC Practice Complimentary Webinar Series
Event

SEC Compliance and Enforcement Update

September 25, 2012
Results 1-20 of 41
Results 1-20 of 65
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Article

Keep Calm and Basel On

Capital Requirements for Community Banks

The Banking Law Journal
May 2014
Legal Alert

Will Regulation A+ Make the Grade?

Explanation of Comments Received by the SEC

April 21, 2014
Legal Alert

SEC Division of Corporation Finance Begins Comprehensive Disclosure Review Focusing on Forms 10-K, 10-Q and 8-K

Spotlight Page Set Up for Disclosure Effectiveness Project

April 16, 2014
Legal Alert

Swaps End-User Update

Recordkeeping Requirements

April 16, 2014
Legal Alert

Swaps End-User Update

Segregation of Initial Margin

March 26, 2014
Legal Alert

An Update on Rule 105 Enforcement

Subject to Inquiry
March 3, 2014
Legal Alert

Swaps End-User Update

What End-Users Need to Know About EMIR – Clearing Obligations

February 10, 2014
Legal Alert

Swaps End-User Update

What End-Users Need to Know About EMIR – Reporting Obligations

January 30, 2014
Legal Alert

Swaps End-User Update

What End-Users Need to Know About EMIR – Counterparty Classifications

January 23, 2014
Results 1-20 of 65