Securities Regulation and Compliance

Sherman & Howard’s securities regulation and compliance attorneys are experienced in all aspects of federal and state securities laws, and we actively participate with our clients in establishing and maintaining access to the securities markets. Our practice entails preparation of offering materials, periodic reports and other disclosure documents; negotiation of underwriting arrangements; interpretation of state “Blue Sky” laws; opinions and advice regarding the sale of “restricted” securities; counsel on insider trading restrictions and other obligations of directors, officers and insiders; compliance with proxy solicitation provisions under state and federal law; handling securities industry arbitrations; responding to Securities and Exchange Commission (SEC) investigations; defense against SEC enforcement and administrative proceedings; defense of securities class actions in federal and state courts; and Sarbanes-Oxley advice.