Becker & Poliakoff

SEC Disclosure & Securities Regulation

We advise public and private corporations, boards of directors, executive officers, investors and committees of the board of directors on matters of SEC disclosure and compliance. We have developed a balanced approach to compliance obligations and combine best practices and practical judgment to provide a workable solution to regulatory and business issues.

Our services include:

  • Special Counsel representation to Audit, Corporate Governance and Special Committees of the board of directors;
  • Review and advice in the drafting and filing of all Exchange Act reports;
  • Assistance in Section 16 compliance and the filing of Forms 3, 4 and 5;
  • Review and oversight of Insider Transactions;
  • Assistance in the establish of corporate governance principles and policies;
  • Development of Committee Charters and Procedure.