The Securities Practice Group performs a broad range of services related to federal and state securities regulation, including registration and disclosure related to sales of corporate stocks and bonds, exchanges of stock in connection with corporate acquisitions and sales of municipal debt obligations.
We assist our clients with all aspects of preparing and filing disclosure and reporting documents and other securities law compliance for public companies, including:
- Proxy statements
- Press releases
- Annual reports to shareholders
- 10-Ks
- 10-Qs
- 8-Ks
- Registrations
- Offerings
- Financing
- Transactional compliance under Section 16 and Rule 144
- Compliance with the Sarbanes-Oxley Act of 2002.
Our attorneys handle all matters from listing to corporate governance and other compliance to delisting involving U.S. and foreign stock exchanges. We have been using the EDGAR electronic filing system of the Securities and Exchange Commission since its inception in 1984 and make electronic filings directly from our offices and assist clients with filings.
ATTORNEYS
Ravi Sundara
James W Mathis
William A Rearden
REPRESENTATIVE WORK
- Representation of public companies needing securities advice regularly
- Representation of private companies which need securities advice only occasionally
- Advise to securities brokerage firms, securities placement departments of banks, and investment advisors in connection with specific transactions, routine securities law compliance, and state law (blue sky) matters
- Representation of private companies becoming public
- Representation of public companies turning private
- Primary and secondary stock offerings and shelf registrations and employee stock plan registrations
- Representation of public clients on the New York Stock Exchange as well as stock exchanges in Europe and Japan
- Assistance with simple and complex registered “stock swap” mergers, corporate acquisitions for cash, and reorganizations