We provide clients ranging from Fortune 500 companies to start-up enterprises, to broker-dealers and investment advisors with advice regarding the myriad of disclosure and compliance issues under federal and state (or “blue sky”) securities laws and regulations. We closely follow new legislation such as the Dodd-Frank Act and the JOBS Act, which are making significant changes to securities regulation in the United States. We strive to keep our clients abreast of these legislative changes and the rapidly evolving regulatory developments at the United States Securities Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the New York Stock Exchange (NYSE) and the National Association of Securities Dealers Automated Quotations (NASDAQ), to keep them ahead of their competition and in compliance with these changes.

Among other things, lawyers in our national securities practice group regularly advise our clients relating to:

  • Disclosure requirements relating to offering documents and periodic reports
  • Proxy solicitation and stockholder matters
  • Compliance with NYSE, NASDAQ and foreign exchange listing matters
  • Internal control and disclosure controls and procedures
  • Insider trade reporting under Section 16
  • Executive compensation matters
  • Regulation fair disclosure (FD) issues
  • Sales of restricted securities (Rule 144)
  • Sarbanes-Oxley and Dodd-Frank compliance issues
  • Investment Company matters
  • Broker Dealer and Investment Advisor matters