Our securities regulation practice group provides advice to issuers ranging from Fortune 500 companies to start-up enterprises, broker-dealers and investment advisers on federal and state securities disclosure and compliance matters. Among other things, lawyers in our securities practice group regularly advise clients concerning:

• Disclosure requirements relating to offering documents and periodic reports
• Preparation of SEC registration statements
• 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
• Regulation FD issues
• Regulation SD reports
• Sales of restricted securities (Rule 144)
• Sarbanes-Oxley and Dodd-Frank compliance issues
• Investment Company Act issues
• Broker-dealer and investment adviser registration and compliance matters