Kegler Brown’s Securities and Corporate Governance practice area is rooted in practical expertise and decades of experience counseling both large and small public companies with regulatory compliance and disclosure practices under the Securities Exchange Act of 1934 and offerings under the Securities Act of 1933. Our attorneys are experienced in applying and implementing best practices and with offering practical advice in addressing complex issues that pose regulatory and compliance risks in securities and corporate governance matters.
Securities Regulation Kegler Brown maintains significant experience with disclosure practices relating to periodic reports and offering documents, including disclosure controls and procedures, internal controls, Regulation FD and Regulation G issues, Regulation M, Regulation SHO compliance, Rule 144 issues, Section 13(d) reporting, Section 16 reporting, shareholder proposals, Sarbanes-Oxley and Dodd-Frank compliance, and insider trading compliance matters. We have counseled clients on billions of dollars of securities offerings, including equity and debt offerings.
Corporate Governance Our team has significant experience advising on corporate governance matters, including board governing documents, board composition, responsibilities of the board, related party and independence matters, fiduciary duties, D&O indemnification, and related insurance matters.
Accounting and Auditing Expertise Kegler Brown also has a wealth of significant experience advising on SEC and Public Company Accounting Oversight Board (PCAOB) accounting and auditing matters, including responding to SEC comment letters, financial statement materiality and restatement issues, internal control issues, auditor engagement and independence matters, and accounting-related disclosure practices. We also have significant experience in conducting thorough internal investigations relating to securities- and accounting-related disclosure practices.