Public Company Securities Compliance & Regulatory Attorneys

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                      Kim Lowe

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                      Todd Taylor

 

 

 

 

 

 

 


The Securities and Exchange Commission (SEC) regulates public corporations. Their complicated rules and regulations must be followed precisely for a variety of transactions.

Our corporate finance attorneys have vast experience working with Exchange Act companies and are well-versed in SEC reporting rules, public company work, and filings, including:

  • Preparation and review of Form 10-K, including description of company’s operations, risk factors, management discussion and analysis (MD&A) and disclosure related to the company’s management.
  • Preparation and review of Form 10-Q.
  • Preparation and review of Form 8-K reports, including: acquisition of material assets, completion of equity or debt financing, change in management and change of control.
  • Preparation and review of Proxy Statements for shareholder meetings.
    • Working with management to coordinate record and meeting date.
    • Working with management and the transfer agent to tabulate vote for meeting.
    • Assisting in preparing for shareholder meetings.
    • Assisting in proxy contests.