Sheppard Mullin has extensive experience in all areas of regulatory compliance and disclosure under the Securities Exchange Act of 1934 and capital formation under the Securities Act of 1933. Our expertise includes ongoing securities counsel to public companies and their directors, officers and other affiliates relating to their obligations under federal and state securities laws. We regularly advise public companies and their affiliates on periodic filings with the Securities and Exchange Commission, public disclosure issues, securities transaction policies, compliance with the short swing profit provisions of Section 16 of the Securities Exchange Act of 1934, compliance with Rule 144 under the Securities Act of 1933 and other similar matters. Our attorneys are expert on all aspects of Sarbanes-Oxley as well.
Additionally, we advise on issues pertaining to general disclosure matters, including press releases, dealing with industry analysts and advice on listing, reporting and compliance by public companies with various securities exchanges and the FINRA.
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