Securities
A maze of securities laws (whether federal, state, national or supra-national) confronts public companies in many jurisdictions across the globe. Squire Sanders securities lawyers have the knowledge and experience to advise public company clients on these compliance requirements – whether they originate with the SEC, the NYSE, NASDAQ, the UK Financial Services Authority (FSA), the Main Market or the AIM Market of the London Stock Exchange, the Hong Kong Stock Exchange or other securities exchanges or regulatory bodies in the United States and around the world.
The range of our expertise extends to assisting companies with required reporting under SEC rules, advising NYSE- and NASDAQ-traded companies on Sarbanes-Oxley requirements and advising UK-listed companies and their management on compliance with the FSA Rules. Our clients include newly emerging enterprises, midsized firms, Fortune 500 companies, FTSE 350 companies, investment banks and other financial intermediaries.
On behalf of our public company clients, our securities lawyers:
- In the United States, design internal systems to simplify periodic SEC reporting by routinely capturing information relevant to reporting obligations
- Provide mechanisms for and advice in relation to alerting senior management to potentially disclosable events or developments
- Offer guidance on sensitive disclosure issues
- In the United States, assist in crafting the required transparency in management’s discussion and analysis (MD&A) of financial conditions and results of operations
- Advise on executive compensation disclosure
- Counsel on the development and implementation of policies and procedures to deal with the purchase and sale of securities by company insiders and the management of inside information
- In the United States, ensure compliance with SEC rules governing short-swing transactions, including compliance by directors and executives with reporting requirements under Section 16 of the Securities Exchange Act
- Advise boards of directors and special committees of boards during the course of internal investigations of suspected or actual improprieties or irregularities
- Advise on compliance with securities laws, regulations and stock exchange rules applicable in various jurisdictions around the world