Securities & Corporate Governance :: Competencies

 

The securities and corporate governance attorneys at Kegler Brown assist large and small public companies with issues related to regulatory compliance and disclosure practices under the Securities Exchange Act of 1934 and offerings under the Securities Act of 1933, including:

Securities


  • Disclosure Best Practices

  • Materiality Determination

  • Structuring Offering Documents
  • Internal Controls
  • Regulation FD compliance
  • Regulation G compliance
  • Regulation M compliance
  • Regulation SHO compliance
  • Rule 144 issues
  • Section 13(d) reporting
  • Section 16 reporting

  • Shareholder Proposals

  • Compliance with Sarbanes-Oxley and 
Dodd-Frank Acts
  • Insider Trading Compliance
  • Equity and Debt Offerings

  • SEC Comment Letter Process

Corporate Governance


  • Board Governing Documents

  • Board Composition
  • Board Responsibilities

  • Independence Matters
  • Related Party Matters

  • Fiduciary Duty Obligations

  • Directors and Officers (D&O) Indemnification
  • Insurance Matters

Accounting/Auditing

  • SEC Comment Letter Process
  • Materiality and Restatement Issues

  • Internal Control Issues
  • Auditor Engagement & Independence
  • Disclosure Practices

  • Internal Investigations