Secure Your Future™

Our Securities Regulation and Corporate Governance Practice assists public and private companies and foreign private issuers listed in the United States comply with a variety of legal matters involving regulations incumbent upon them from either U.S. regulatory bodies, stock exchanges, electronic quotation systems, and state corporate laws.

Our clients seek our representation before the SEC on matters such as those illustrated below:

  • The preparation of periodic reports and securities offering documents
  • Development of company policies related to insider trading, disclosure and related-party transactions
  • Beneficial ownership and Section 16 compliance
  • Internal due diligence investigations and disclosures
  • Executive compensation matters as well as company-wide stock option plans

We advise public and private companies’ boards of directors and committees and management on numerous matters that are critical to their operations including:

  • Board effectiveness with respect to adherence to corporate governance and board processes
  • Independent Directors and independent committees 
  • Fiduciary duties
  • Directors and officers (D&O) indemnification and insurance

We advise public companies with regards to SEC accounting matters, including:

  • Financial statement materiality assessments and restatements
  • Accounting-related disclosure rules 
  • Internal control processes and procedures
  • Responses to SEC disclosure comments and investigations

We advise clients regarding regulatory issues arising under the U.S. Securities Act of 1933, Securities Exchange Act of 1934, Sarbanes-Oxley Act and Dodd-Frank Act, the accompanying SEC rules and regulations, and listing requirements and standards of the New York Stock Exchange (NYSE), NASDAQ Stock Market and other stock markets.

Get in Touch!

(480) 830-2700