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exchange act compliance & regulatory reporting

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We are highly specialized in Exchange Act reporting and compliance, which is critical to a reporting company’s ability to raise capital, obtain shareholder approval or restructure outstanding derivative securities when needed. We use our deep expertise in Exchange Act reporting and compliance to help our reporting company clients avoid or quickly resolve SEC comments to Exchange Act reports, proxy statements and tender offer statements.

Our expertise in Exchange Act compliance includes:

  • Exchange Act registration statements (Forms 10 and 8-A)

  • Annual and quarterly reports (Forms 10-K and 10-Q)

  • Current reports (Form 8-K)

  • Proxy statements/proxy contests (Schedule 14A)

  • Information statements (Schedule 14C)

  • Tender offer statements (Schedule TO)

  • Insider filings (Forms 3, 4 and 5, Schedules 13G and 13D)

We have expertise advising clients on corporate, securities, commodities and derivatives regulatory and operations matters with particular emphasis on the organization, operations and regulatory compliance of investment management firms, private equity, venture capital and hedge fund sponsors and broker-dealers.

We also advise clients on the regulatory matters associated with mergers and acquisitions involving regulated entities, Investment Company Act analyses and new securities product development. We offer our clients experienced, practical and personalized solutions, not just technical legal advice, to enable our clients to best achieve their business goals in a highly regulated environment.

Our experience includes:

  • Initial SEC registrations

  • FINRA membership

  • Development of compliance programs

  • Substantive reviews of operating and compliance policies and procedures

  • Compliance training programs

  • SEC and other regulatory examinations

  • Regulatory reporting (e.g., 13D, 13F, 13G, 13H, Form PF)

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