Securities Compliance and Reporting Obligations

Securities Compliance

Gallagher & Kennedy’s attorneys guide public companies in reporting and securities compliance obligations. Our securities attorneys regularly represent public companies, from smaller reporting companies to accelerated filers, in matters requiring ongoing securities compliance with SEC regulations. We prepare filings needed to comply with a company’s reporting obligations, including:

  • Annual Reports on Form 10-K
  • Quarterly Reports on Form 10-Q
  • Periodic Reports on Form 8-K
  • Proxy statements
  • Executive compensation reporting and disclosure (CD&A)
  • Section 16 reporting (Forms 3, 4 and 5)
  • Regulation FD (fair disclosure)
  • Regulation G (non-GAAP financial measures)
  • Section 13 ownership disclosure (Forms 13D and 13G)

We guide companies through the process of becoming listed on an exchange or other market. Whether a company’s securities trade on one of the over-the-counter markets or a national exchange, we have the experience to ensure compliance with both initial and ongoing listing requirements and the corporate governance rules imposed on public companies.

When necessary, we can provide guidance on internal investigations, and have represented parties in proceedings before the Securities and Exchange Commission, New York Stock Exchange, the NASDAQ, the OTCBB, FINRA (formerly the NASD), the Securities Division of the Arizona Corporation Commission and the Arizona State Department of Financial Institutions.