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
Results 1-2 of 2

RESULTS DEPEND ON A VARIETY OF FACTORS UNIQUE TO EACH CASE. PRIOR RESULTS DO NOT GUARANTEE OR PREDICT A SIMILAR OUTCOME.

Representative Matter

Provider of market intelligence, data, and technology solutions

Advised provider of market intelligence, data, and technology solutions to the global capital markets on the acquisition by its English subsidiary of a BVI-registered provider of web-based systems for loan syndication and its group for $31.5 million (subject to adjustments).
Representative Matter

Fortune 500 wireless carrier

Assisting a Fortune 500 wireless carrier with evaluation of device financing proposals for postpaid and prepaid brands.
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Results 1-25 of 57
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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
vCard
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
2000 McKinney Avenue
Suite 1400
Dallas, TX 75201

T: +1 214 932 6403
F: +1 214 932 6499
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
vCard
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
vCard
John B. Cornelius
Associate
1345 Avenue of the Americas
7th Floor
New York, NY 10105-0106

T: +1 212 548 7032
F: +1 212 715 6295
vCard
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
2000 McKinney Avenue
Suite 1400
Dallas, TX 75201

T: +1 214 932 6404
F: +1 214 932 6499
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
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
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
Greg R Kilpatrick Greg R. Kilpatrick
Partner
201 North Tryon Street
Suite 3000
Charlotte, NC 28202-2146

T: +1 704 343 2029
F: +1 704 444 8742
vCard
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Event

SEC Compliance and Disclosure Update

Tuesday, October 28, 2014
Complimentary Webinar Series
Event

SEC Compliance and Enforcement Update

September 23, 2014
Complimentary Webinar Series
Speaking Engagement

Private Fund Managers

Navigating Recent SEC Guidance on Custody Rule, Qualified Client Status, Knowledgeable Employees, Use of Social Media and CCO Liability

September 9, 2014
Strafford Live CLE Webinar
Speaking Engagement

Acquisitions 101: Webinar Series

Acquisition Target #1: COMPLETED. What's Next?

August 20, 2014
Speaking Engagement

Acquisitions 101: Webinar Series

Closing Your Acquisition Target While Protecting Your Interests

July 30, 2014
Speaking Engagement

Acquisitions 101: Webinar Series

My Acquisition Target Is Under Contract. Now What?

July 16, 2014
Speaking Engagement

Acquisitions 101: Webinar Series

How Do I Find the Right Company to Acquire?

June 25, 2014
Speaking Engagement

Acquisitions 101: Webinar Series

Will your company benefit from a grow through acquisition strategy?

June 11, 2014
Event

SEC Compliance and Disclosure Update

May 20, 2014
Complimentary Webinar
Event

SEC Compliance and Disclosure Update

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
Results 1-20 of 50
Results 1-20 of 75
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Legal Alert

Swaps End-User Update

CFTC Provides End-Users with Limited Relief from Certain Recordkeeping Requirements

June 4, 2014
Article

Time for a 2014 ISDA Master Agreement

Review of Securities & Commodities Regulation
May 7, 2014
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
Results 1-20 of 75