Public Companies

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The Securities Group represents publicly held companies in connection with a wide variety of matters governed by the federal securities laws. As a central part of our public company representation, we regularly advise our clients on the applicable requirements of the Securities Exchange Act of 1934, the rules and regulations of the Securities and Exchange Commission (SEC), and the listing standards of the NYSE, NASDAQ and AMEX. Moreover, due to the substantial experience of our attorneys (a number of whom are former general counsels of public companies), we are able to go beyond technical compliance and identify for our clients the "best practices" among public companies across the spectrum of corporate conduct. To best represent our clients, we learn and understand their businesses and industries so that we can be in a position to respond promptly, expertly and effectively to their legal needs.

Representative Matters

  • Advise public companies on a full array of corporate governance issues, such as board of directors composition, board committee functions and director and executive officer compensation. 
  • Closely monitor and keep our public company clients updated on important changes in the federal securities laws, such as the Sarbanes-Oxley Act of 2002 and the related SEC rules. 
  • Advise public companies on the securities law implications of business acquisitions and dispositions. 
  • Assist public companies in preparing the various reports and documents they are required to file with the SEC, including quarterly reports on Form 10-Q, annual reports on Form 10-K, current reports on Form 8-K, proxy statements and annual reports to stockholders. 
  • Prepare or review the Section 16(a) reports on Forms 3, 4 and 5 that directors, officers, and significant stockholders of public companies are required to file with the SEC with respect to their ownership of securities. 
  • Render legal opinions relating to transfers of restricted securities by the stockholders of public companies.