While today’s public companies face a dizzying array of regulatory requirements and fiduciary obligations — we offer clients a level of sophistication that rivals top securities-focused law firms, while maintaining the cost effectiveness and personalized service associated with smaller markets.
Additionally, we offer a full-service solution to our public-company clients facing other legal challenges or requirements. For example, our attorneys often work closely with colleagues from other practices, when governance and securities regulatory compliance intersect with other legal matters, such as litigation matters or other business transactions.
KMK combines proficiency in federal securities regulation with long experience and deep knowledge of the fiduciary and other requirements of Ohio, Delaware and other state corporate laws. The prominent position of KMK partners in state corporate law matters is supported by our continued thought-leadership publication and is evidence of KMK’s commitment to expertise in state corporate and securities regulation.
We regularly advise our public company clients on the complex and evolving federal securities regulations applicable to:
- Annual, quarterly and current reports
- Press releases and analyst presentations
- Proxy statements and shareholder proposals
- Sarbanes-Oxley, Dodd-Frank, Regulation G and Regulation FD compliance
- SEC comment letters
- Sections 13 and 16 reporting and compliance
- Securities exchange listing standard compliance
- Shareholder meetings and contested elections
KMK either prepares or reviews reports and frequently submits them as filings directly to the SEC through its own Edgar software. We also regularly counsel our public-company clients in executive and incentive compensation alternatives and the attendant securities law requirements for equity-based incentive compensation, particularly in response to the developing and often nuanced policies and ratings from proxy advisory firms and their institutional investor constituents.
News & Resources
- SEC Adopts Dodd-Frank Clawback Rules: Executive Compensation Recovery Expands to “little r” restatements
- SEC Revisits Compensation Clawbacks, Expands Electronic Filing Requirements, and Fines Company for Confidentiality Agreement Outreach
- Flurry of Proposed New Rules from the SEC—Key Takeaways
- Busy Fourth Quarter for SEC Staff
- White Hot Commission Focus on Insider Trading and ESG
- KMK Law Corporate & Securities Blog,