Securities Compliance

With more than 50 securities compliance lawyers, McGuireWoods provides experienced counsel to businesses of all sizes, from Fortune 500 organizations to smaller reporting companies. We assist clients whose securities are listed on various exchanges including Nasdaq, the NYSE, AMEX and AIM. We work with clients across a number of industries, notably consumer products, energy, financial services, hospitality, manufacturing, retail, technology and transportation. And, we understand the industry-specific securities compliance issues and reporting requirements that affect those clients.

The firm’s securities compliance lawyers assist registrants with their reporting obligations under the Securities Exchange Act of 1934, including forms 10-K, 10-Q and 8-K, Section 16 reports and DEF 14A (proxy statements), as well as with Regulation FD and Regulation G compliance. We prepare insider trading policies and training programs and assist with other aspects of securities transactions engaged in by company officers, directors and significant security holders, including 10b5-1 plans and Rule 144 compliance. In addition, we help clients implement new rules and listing requirements, conduct open market repurchases and self-tender offers, and address hostile tender offers, consent solicitations and contested board elections.

The volume of work we handle and the industry-specific issues we address allow us to develop best practices and unique intellectual capital used to ensure our securities compliance clients achieve their goals. Services offered by the team range from providing clients with model documents and templates, to compiling and analyzing peer disclosures, to providing official public comment on proposed rules and regulations, to hosting complimentary webinars on timely corporate governance and securities disclosure topics.