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.