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Business & Finance: Securities Regulation
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ATTORNEYS
Eliot W. Robinson
Jody M. Arogeti
Joseph M. Berl
Tobias J. Butler
Howard S. Hirsch
Andrew R. Hough
Kathryn Knudson
Katherine M. Koops
Robert J. Lystad
Kevin A. McGill
Thomas R. McNeill
Rick Miller
Walter G. Moeling, IV
F. Donald Nelms, Jr.
Mitesh Patel
Michael K. Rafter
Suzanne J. Roberts
J. Christopher Rodgers
William B. Shearer, Jr.
W. Scott Sorrels
G. William Speer
Barney Stewart III
M. Todd Wade
James C. Wheeler

Especially in the current environment, companies need an experienced hand to guide them through securities law compliance issues. Every public company faces an increasingly complex set of SEC requirements and regulations that mandate continuous monitoring and preparation of reports and other documents.

We assist clients in preparing periodic reports to the SEC and proxy materials, and in addressing corporate governance and compliance issues. We also assist clients in complying with the rules and regulations of the SEC and the various stock exchanges, including executive compensation and board committee matters. Officers, directors and other insiders seek our counsel on compliance with disclosure issues, insider trading and beneficial ownership reporting regulations. In addition, we provide clients advice on complying with blue sky or state securities laws, broker/dealer regulations, and the rules and regulations under the Investment Company Act and the Investment Adviser's Act.

Together, we have:

  • Regularly advised clients regarding compliance with the rules and regulations of the NYSE, Nasdaq and AMEX, including listing applications and delisting proceedings
  • Counseled clients on corporate governance and compliance requirements and "best practices"
  • Led "directors' college" programs co-sponsored by the Southeast Chapter of the National Association of Corporate Directors and the University of Georgia Terry College of Business
  • Advised and assisted clients with the rules and regulations governing public company audit and compensation committees
  • Advised clients in connection with the securities laws as they relate to web site disclosures
  • Advised and assisted clients with the filing of confidential treatment requests
     
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