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Co-headed by a former Director of the Division of Corporation Finance at the Securities and Exchange Commission, our securities practice has both depth and strength in assisting clients in a wide range of securities reporting and related regulatory compliance matters. This includes counseling on difficult disclosure issues, technical regulatory concerns and the structuring and implementation of compliance programs. Our work in this area also frequently includes counseling clients on corporate governance matters.
We advise numerous public companies in periodic and other reporting under the Securities Exchange Act of 1934, from preparing and reviewing draft periodic reports to advising on disclosure controls and procedures. This usually involves working with clients on annual shareholder meetings and proxy solicitations, including shareholder proposals and beneficial ownership reporting, as well. Our reporting and compliance practice also advises on tender offers, issuer repurchase plans, executive compensation issues, option plan administration, practices under Regulation FD, insider trading policies, Rule 10b5-1 plans and Section 16 reporting obligations. We deal frequently with the SEC staff on comments on filings and interpretive matters and assist clients in complying with stock exchange listing standards.
We regularly advise clients on regulations arising under the Dodd-Frank Act, the Sarbanes-Oxley Act and other laws affecting the markets or corporate governance standards and practices, both in the United States and other jurisdictions. Lawyers in our offices in Europe and Asia advise foreign private issuers on their disclosure and other obligations under US securities laws. We also often assist market participants in evaluating, commenting upon and planning for pending regulatory change, including proposed rulemaking by the SEC, FINRA and other regulatory and self-regulatory bodies in the United States and other jurisdictions.
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