Warner securities attorneys serve as counsel to numerous publicly and privately traded companies. We represent clients on a national, regional and local level in capital market transactions and regulatory compliance matters. The increasing complexity of securities regulation presents companies with a heightened risk of SEC or state enforcement actions and private civil litigation. Publicly held companies, businesses considering a securities offering and securities professionals all face stringent legal requirements. We partner with our clients to help them navigate complex legal requirements at the federal level and in all 50 states.

Securities Compliance and SEC Reporting

We assist Boards of Directors and management of public companies with compliance and disclosure matters under federal securities laws and regulations, including the Securities Act of 1933, the Securities and Exchange Act of 1934, the Sarbanes-Oxley Act, the Dodd-Frank Act, and related SEC rules. Our securities attorneys have expertise in executive compensation and benefits disclosure under SEC rules, and assist clients in managing disclosure obligations in an evolving regulatory landscape.