SEC Reporting & Compliance

Our SEC Reporting & Compliance practice advises public and private companies on a range of matters involving securities offerings and compliance and disclosure matters under the Securities Act of 1933, Securities Exchange Act of 1934, the Sarbanes Oxley Act and the Dodd-Frank Act, as well as the related SEC rules and the listing standards of the New York Stock Exchange, NASDAQ Stock Market and other stock markets.

Our services include:

  • 34’ Act Reports:

    • Form 10-K

    • Form 10-Q

    • Form 8-K

  • advising on beneficial ownership (Schedule 13D/G) and short-swing profit (Forms 3, 4 and 5) reporting and compliance;

  • preparing and reviewing proxy statements;

  • drafting no-action and exemptive letter requests to SEC staff, including requests related to shareholder proposals;

  • preparing and reviewing Securities Act registration statements;

  • developing and complying with insider trading policies;

  • reviewing drafts of quarterly earnings releases and investor presentations;

  • preparing and reviewing Regulation Fair Disclosure policies and assisting with related compliance;

  • advising on the legal impacts of sweeping regulatory reforms, including the Dodd-Frank Act and the Jumpstart Our Business Startups Act; and

  • assisting with auditor independence issues and other accounting-related disclosure questions.