Corporate & Securities

Robust corporate governance protocols can be the difference between a good company and a great one. Best practices are not just important to investors, regulators and consumers; they create a tight ship that allows executives and employees to thrive.

Leveraging our established regulatory and compliance practice, we advise public and privately-held entities, investors and boards and special committees in connection with the development of governance structures and policies that comport with existing and emerging legal and regulatory requirements.

Our areas of focus include:

  • Reporting and disclosure requirements under the federal securities laws;
  • Compliance with securities exchange and self-regulatory organization (SRO) requirements; and
  • Development of compliance manuals and codes of conduct.

Complementing our corporate/securities lawyers’ expertise, we call upon the expertise of lawyers with substantial experience both as senior lawyers inside financial services firms as well as those with in-the-trenches regulatory experience. Not only was our firm founded by a Chief Attorney of the SEC’s Division of Enforcement, we count among our ranks a former in-house counsel at NASD and NYSE member broker-dealers.