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Securities Regulation

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