Securities Regulation and Corporate Governance


“We offer our clients experience, expertise and a commitment to becoming a long-time partner.”

Public companies, and companies preparing to become public, are subject to complex federal and exchange disclosure and governance rules and regulations. Inadvertent noncompliance with these rules can place significant demands on management’s time to resolve the regulatory issues. McGrath North offers practical solutions to issues that arise due to government and exchange regulations. We can assist you in processing the timely submission of public reports, advise you on rules that apply to the composition of governing boards, as well as protocols for interaction with equity holders.

Our lawyers can advise you on structuring your management team to meet the challenges of government and exchange regulation, while minimizing the expenses related to securities regulation, compliance and corporate governance. Our lawyers also have substantial experience in corporate boardrooms advising the board of directors of public companies. Private companies with multiple shareholders also benefit from our corporate governance advice.

Representative SEC compliance matters our attorneys have handled include representation of multiple public companies in connection with:

  • Preparation of filings on Forms 10-K, 10-Q and 8-K.
  • Responding to SEC comments on filings.
  • Reg. G and Reg. FD compliance.
  • Assisting with annual shareholder meeting planning and proxy statement preparation and advising on proxy contests.
  • Development of stock plans, related award arrangements and SEC registration.
  • Preparation of insider filings under the Williams Act and Section 16.
  • Review and development of media disclosures and presentations.
  • Development of insider trading policies, codes of conduct, committee charters and corporate governance guidance.
  • NYSE and NASDAQ listings and reports.
  • The adoption and/or repeal of shareholder right plans.
  • Shareholder proposals.
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