Corporate & Securities Main Page
European Corporate & Transactional
Finance, Structured Finance & Commercial Lending
India Corporate & Transactional
SEC Reporting & Compliance
Representative Experience:
- Periodic regulatory and compliance filings with the SEC, national exchanges, states and other regulators including: Forms 10-K, 10-Q, 8-K (including earnings releases) and 20-F; Regulation G compliance; Section 16 reports; and Proxy Statements and Annual Meeting preparation and reporting.
- Drafted applications for exemptions from SEC rules and regulations.
- Preparation of press releases, review of quarterly earnings call agendas and scripts.
- Preparation of corporate group training on Regulation FD.
- Corporate website maintenance and related SEC and Sarbanes-Oxley compliance.
- Restricted shareholder issues and compliance.