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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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 59
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Karen J Adams Karen J. Adams
Counsel
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
Gateway Plaza
800 East Canal Street
Richmond, VA 23219-3916

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
Jeff Brooker Jeffrey D. Brooker
Associate
2000 McKinney Avenue
Suite 1400
Dallas, TX 75201

T: +1 214 932 6417
F: +1 214 932 6499
vCard
Thomas William Bruno Thomas William Bruno
Associate
Gateway Plaza
800 East Canal Street
Richmond, VA 23219-3916

T: +1 804 775 1853
F: +1 804 440 7731
vCard
Robert L Burrus Jr. Robert L. Burrus Jr.
Counsel
Gateway Plaza
800 East Canal Street
Richmond, VA 23219-3916

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
John Cornelius 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
Partner
Gateway Plaza
800 East Canal Street
Richmond, VA 23219-3916

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
Hanna Frank Hannah Thompson Frank
Partner
EQT Plaza
625 Liberty Avenue
23rd Floor
Pittsburgh, PA 15222-3142

T: +1 412 667 7936
F: +1 412 402 4194
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
Seth Goldsamt Seth T. Goldsamt
Partner
1345 Avenue of the Americas
7th Floor
New York, NY 10105-0106

T: +1 212 548 2162
F: +1 212 715 6267
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
Counsel
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
Bo Harvey Bo Harvey
Associate - Not Admitted in CA; Admitted to NY Bar
1800 Century Park East
8th Floor
Los Angeles, CA 90067-1501

1345 Avenue of the Americas
7th Floor
New York, NY 10105-0106

T: +1 310 315 8293
F: +1 310 956 3162
vCard

T:+1 212 548 2188
F: +1 212 715 6261

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
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Speaking Engagement

National Advanced Summit on Swaps & Derivatives: Global Markets Regulation

June 29-30, 2015
New York, NY
Event

SEC Compliance and Disclosure Update

May 19, 2015
Complimentary Webinar Series
Speaking Engagement

Co-Investing 2015

April 27-28, 2015
New York, NY
Event

SEC Compliance and Disclosure Update

April 28, 2015
Complimentary Webinar Series
Event

SEC Compliance and Disclosure Update

February 24, 2015
Complimentary Webinar Series
Event

SEC Compliance and Disclosure Update

January 27, 2015
Complimentary Webinar Series
Event

FCPA Transactional Diligence:

Can You Be Commercial and Compliant?

December 3, 2014
New York, NY
Event

SEC Compliance and Disclosure Update

November 18, 2014
Complimentary Webinar Series
Speaking Engagement

RR Donnelley Proxy Statement Interactive Lunch Seminar

November 13, 2014
Event

SEC Compliance and Disclosure Update

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
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Results 1-20 of 98
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Legal Alert

Financial Entity Update

The CFTC’s Proposed Margin Rules for Uncleared Swaps – Goofy Haircut

August 24, 2015
Legal Alert

Financial Entity Update

The CFTC’s Proposed Margin Rules for Uncleared Swaps – Know Thyself

August 3, 2015
Article

The SEC Considers Updating the Accredited Investor Definition

Insights: The Corporate & Securities Law Advisor
June 2015
Legal Alert

Swaps End-User Update

CFTC Provides Helpful Interpretation for Forward Contracts with Embedded Volumetric Optionality

May 21, 2015
Legal Alert

Swaps End-User Update

CFTC Proposes Reporting and Recordkeeping Relief for Commodity Trade Options

May 8, 2015
Legal Alert

SEC to Vote on Regulation A+ this Wednesday

Will State Law Preemption Survive?

March 23, 2015
Legal Alert

SEC Proposes Rules for Hedging Disclosure

February 13, 2015
Legal Alert

SEC Seeks Serious Penalties Against Sands Brothers and its Senior Officers for Alleged Repeated Custody Rule Violations

Former Compliance Officer No Longer Expected to Settle

January 5, 2015
Legal Alert

Advertised Private Placements Under Rule 506(c)

Current Status, Public Comment on Proposed Investor Protections

November 12, 2014
Results 1-20 of 98