A critical part of our Public Companies/SEC practice involves advising our clients on a day-to-day basis with respect to their disclosure obligations under the federal securities laws and on their dealings with the SEC and the securities exchanges on which their securities trade. We routinely assist in the preparation of disclosure documents filed with the SEC, both on a recurring basis and in connection with significant events such as offerings, mergers and acquisitions, and proxy fights. Our team handles all matters before the Division of Corporation Finance, including disclosure and financial statement reviews, requests for no-action relief, interpretive guidance, and waivers. We also advise on areas of emerging interest, such as environmental, social, and governance (ESG) issues.
The lawyers in our Public Companies/SEC practice include a number of partners, counsel and associates who have worked at the SEC in various capacities. These lawyers provide invaluable insight into the regulatory processes of the SEC. We also work closely with the firm’s top-ranked Corporate Governance practice when advising on shareholder matters.
Advising our publicly traded clients on their disclosure and governance matters is only one aspect of the broad range of nationally recognized capabilities we provide to our public companies. These other areas include:
We represent public companies in SEC and other regulatory investigations into financial reporting and accounting matters, public disclosures, data breaches, internal controls, material business developments, Regulation FD, employee trading, potential insider trading, anti-money laundering compliance, and FCPA issues.
Our team defends clients in inquiries, investigations, and enforcement proceedings by the SEC, CFTC, Department of Justice (DOJ), securities exchanges, state attorneys general, and state securities regulators. We have worked on regulatory matters throughout the U.S. in almost every state, and have coordinated international regulatory matters for clients.
- Capital Markets
- Corporate Governance
- Crisis Management and Strategic Response
- Employee Benefits and Executive Compensation
- Environmental, Social and Governance (ESG)
- SEC Disclosure
- Securities and Shareholder Litigation
- Securities Enforcement and Regulatory
- Shareholder Activism and Corporate Defense