Exchange Act Compliance
Stevens & Lee advises financial institution clients on a wide variety of U.S. securities laws and general corporate and regulatory matters, including compliance with and reporting under the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley Act, the Dodd-Frank Act and the rules and regulations of self-regulatory organizations, including the NYSE and NASDAQ.
We provide ongoing guidance to public companies regarding their disclosure and public reporting obligations under U.S. federal and state securities laws and exchange regulations. We assist companies in preparing periodic filings with the SEC, including Forms 10-K, 10-Q and 8-K, as well as proxy statement filings.
We counsel financial institutions on responding to SEC comment letters and on issues relating to financial statement restatements. We also counsel our public company clients and their directors and officers on compliance with rules for trading in company securities, stock repurchase programs, Regulation FD, Forms 3 and 4 reporting and short-swing profit rules.