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Securities Compliance

As one of the region’s leading corporate law firms, Miles & Stockbridge has long advised publicly held clients on all aspects of compliance with the regulations of the Securities and Exchange Commission (SEC) and the major securities exchanges. 

We are very involved in proactive client counseling regarding financial reporting, corporate governance, executive compensation and other disclosure matters.  While recognizing that every company is different in the degree of legal oversight they require for their financial direction and at what point in the process they want that oversight to be offered, our corporate and securities lawyers have always emphasized close and active involvement with the way clients compile and communicate their disclosure.

We are skilled at evaluating the requirements and risks associated with public disclosure.  We help clients prepare and file periodic disclosure documents with the SEC, including annual reports, quarterly reports, current reports on Form 8 K, proxy statements and any documents related to preparing these reports.  We understand the timing, methodology and requirements of disclosure concerning important and material events and regularly assist clients in the development of appropriate disclosure controls and procedures and internal controls. 

We regularly assist officers and directors in completing and filing reports concerning the purchase and sale of securities required by Section 16 of the Securities Exchange Act of 1934.  Our lawyers also offer advice regarding state securities law requirements and filings in connection with public debt and equity securities offerings, private placements and other capital raising activities, and assist our clients with the listing requirements of the various stock exchanges.