SEC and Stock Exchange Compliance

The last few years have seen major changes in disclosure requirements for public companies as well as new corporate governance requirements for issuers with securities traded on the New York Stock Exchange, The Nasdaq Stock Market or the American Stock Exchange.  We have substantial experience advising domestic and foreign issuers on these new requirements as well as other matters relating to corporate governance, including:

• Preparing and reviewing proxy materials and annual, quarterly and other reports filed with the SEC and other matters as they relate to continued compliance with securities laws and Sarbanes-Oxley disclosure obligations
• Advising foreign and domestic issuers as to the requirements of the NYSE, Nasdaq and AMEX
• Advising issuers on interactions with the investment community, including dealing with analysts and the requirements of Regulation FD, as well as review of quarterly earnings releases
• Section 16 reporting compliance programs
• Creating equity incentive plans, such as stock option, stock appreciation and restricted stock plans, employee stock purchase plans and other benefit plans, working closely with members of the firm's ERISA practice group
• Creating dividend reinvestment and direct stock purchase programs
• The preparation and review of committee charters, codes of ethics, guidelines and standards
• Advising clients on the latest developments in corporate governance

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