Public Companies
Our team assists clients with offerings of equity and debt securities, public reporting and compliance with all related SEC regulations as well as the national stock exchange rules. Our roles range from being counsel on all securities and transactional matters for some clients, to working collaboratively with in-house legal departments, to serving as special counsel to boards of directors and board committees.
We have significant experience handling SEC filings, earnings releases and additional investor relations communications for equity offerings, private placements of securities, “angel” financings and venture capital deals. We also provide strategic direction on the development of corporate policies, board committee charters, governance materials, and executive compensation arrangements and disclosures.
Key Contacts
-
James A. GieselPractice Group Leader
Louisville, KY
-
Alan K. MacDonaldPartner
Louisville, KY
-
Joshua M. O’BryanPartner
Louisville, KY
Working strategically on your behalf.Whenever state and federal securities laws are in play, we work closely with clients to develop appropriate compliance solutions, along with effective strategies for responding to SEC inquiries and other enforcement actions. |
Related Insights
-
Navigating Section 1202’s Redemption (Anti-churning) RulesMarch 10, 2023
-
SEC Adds New Conditions for Rule 10b5-1 Trading PlansJanuary 31, 2023
-
-
A Closer Look at Rule 15c2-12 Exemptions Following Unprecedented SEC Enforcement ActionsDecember 12, 2022
-
The Yin and the Yang of Delaware Corporate LawAugust 10, 2022
-
SEC Proposes Rule Changes for Private Fund AdvisersJuly 29, 2022
Stay ahead of the law.
Subscribe to receive email updates and choose your topics.