Securities Law

Closely aligned with the Business and Banking Law practices, the attorneys in the Securities Law practice add a distinct service to Mette, Evans & Woodside by providing the resources for compliance with complex Securities and Exchange Commission regulations and registration of offerings of stock and other securities.

The attorneys in the Securities Law practice have extensive experience with SEC compliance issues, including the annual proxy statement, periodic reporting on Forms 10-Q and 10-K and current reporting on Form 8-K. In addition, they have significant experience with the private placement of securities and the registration of securities, including the registration of primary offerings on Form S-3, business combinations and exchange offerings on Form S-4 and employee benefit plan offerings on Form S-8.

Our Securities Law practice also provides counsel on:

• Shareholder proposals and other proxy rules
• SEC enforcement issues
• Sarbanes-Oxley and Dodd-Frank Act compliance
• Responding to SEC comments on periodic and special filings
• Stock option plans and agreements
• Executive compensation disclosure
• Director independence issues
• Insider trading, including Rule 144
• Nasdaq and NYSE listing requirements
• Annual meeting preparation and conduct
• De-registration and de-listing of securities
• Corporate governance
• Board committee charters