‘34 Act Reporting and Related Matters

We represent a wide variety of public companies in connection with their ongoing reporting and disclosure requirements under the Securities Exchange Act of 1934. Our clients include middle-market and large public companies.

Our securities practice is complemented by and integrated with other practice areas, including corporate governance, mergers and acquisitions, employee benefits and tax. Our approach is guided by offering our clients not only technical knowledge, but also practical advice based on our experience.

Representative Experience

  • ‘34 Act reports:
    • Form 10-K
    • Form 10-Q
    • Form 8-K
  • Proxy statements
  • Regulation FD, earnings calls/releases, investor presentations, etc.
  • Section 16 compliance (including review/preparation of Forms 3, 4 and 5)
  • Regulation G compliance
  • Shareholder proposals
  • No-action letters
  • Financial reporting and related accounting and auditing matters
  • Insider trading policies
  • Share repurchase programs (including Rule 10b5-1 trading plans)
  • Investor relations matters
  • Executive compensation
  • Nasdaq and NYSE compliance (including board committee charters and corporate governance guidelines)
  • Corporate/securities laws training programs for employees

Insights