Corporate Governance and SEC Compliance

The Securities Group advises clients, including corporate boards and management teams, on corporate governance policies and procedures, as well as compliance with public company reporting obligations under federal and state securities regulations.

Corporate Governance

We regularly assist our clients in developing and implementing policies and compliance procedures to satisfy the Sarbanes-Oxley Act and Nasdaq and stock exchange listing requirements.  Our experience extends to board governance charters, policies and best practices for audit committees, nominating committees and compensation committees, codes of conduct, whistle-blower policies and procedures

We perform Sarbanes-Oxley compliance audits to assist our clients with their initial and ongoing Sarbanes compliance efforts. Our attorneys are particularly experienced in representing board committees in carrying out their fiduciary duties under circumstances where their interests are not necessarily aligned with those of management and company counsel.

Federal Securities Compliance

We have extensive experience counseling public companies on their reporting and disclosure obligations under federal securities laws, including Regulation FD, Section 16 reporting requirements relating to insider trading, preparation of periodic reports such as 10-Ks and 10-Qs under the Securities Exchange Act of 1934, and satisfaction of the requirements of Rule 144 relating to the disposition of restricted securities.