Regulatory Compliance

Regulatory compliance is a critical consideration for companies at all points in the business cycle – from corporate formation and capital creation to the preparation of SEC disclosure documents and periodic reporting. Our lawyers have the wide-ranging experience to assist clients in assessing and ensuring their compliance. We help growing clients prepare documents for public and private offerings of debt and equity securities and other capital markets transactions, and we team with our larger established clients in negotiating win-win results in time-sensitive transactions that require significant depth of experience and credibility.

Practical Regulatory Counsel for Public Companies

We advise our public company clients on disclosure-related issues, such as how to deal with equity analysts while avoiding selective disclosure, insider-trading compliance programs, and other matters relating to the often difficult interface among the federal securities laws, investor and press relations, and the handling of material nonpublic information.

Our lawyers also provide counsel on M&A matters, including review and implementation of structural defenses such as stockholder-rights plans and relevant charter and by-law provisions. In addition, we regularly interact with SEC staff in connection with public filings, pre-filing conferences, requests for interpretative guidance, the submission of no-action letters, and responses to informal inquiries and formal investigations.

An Interdisciplinary Approach to Regulatory Compliance

We represent clients on a wide range of regulatory, transactional, organizational, and other matters. Our interdisciplinary approach brings together lawyers with the full range of regulatory experience – encompassing federal securities laws, the rules of self-regulatory organizations like the NYSE, FINRA, AMEX Regulation and NFA, ERISA, the Internal Revenue Code, the Bankruptcy Code, the Sarbanes-Oxley Act, federal and state banking and insurance laws, and state securities laws.