We provide comprehensive securities compliance counsel to publicly traded companies and their boards of directors, officers, and other key stakeholders. We advise clients on SEC reporting obligations, corporate governance requirements, and securities regulations, and represent them in SEC examinations, investigations, and enforcement proceedings. Our attorneys deliver practical, strategic guidance on disclosure obligations, insider trading compliance, capital markets transactions, and the full range of regulatory matters facing public companies.
Services offered include:
- SEC Periodic Reporting (10-K, 10-Q, 8-K, Proxy Statements)
- SEC Investigations and Enforcement Defense
- Corporate Governance and Board Advisory
- Insider Trading Policies and Section 16 Compliance
- NYSE and Nasdaq Listing Standards Compliance
- Regulation FD Compliance and Disclosure Controls
- Proxy Solicitations and Shareholder Engagement
- Executive Compensation Disclosure (CD&A and Say-on-Pay)
- Beneficial Ownership Reporting (Schedules 13D/13G)
- Sarbanes-Oxley Compliance and Internal Controls
- Public Offerings and Capital Markets Transactions
- Equity Compensation Plan Compliance and Registration (Forms S-8)
- Dodd-Frank Act Compliance and Whistleblower Matters
- Securities Compliance in Mergers, Acquisitions, and Restructurings
- SEC Comment Letter Responses and Staff Inquiries
- Shareholder Activism and Takeover Defense
- Securities Class Action and Derivative Litigation Defense
- ESG and Sustainability Disclosure Requirements
- Rule 144 Compliance and Restricted Securities Resales
- Rule 10b5-1 Trading Plan Design and Administration
- SPAC and De-SPAC Transaction Compliance
