Securities Compliance 2018-11-21T19:59:55+00:00

Securities Compliance

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DJP’s Securities team has significant depth in and is widely recognized for its practice in securities compliance for both public and private companies. Our attorneys have a wealth of experience in advising companies on filing periodic reports, soliciting proxies for stockholder meetings, and complying with complex and constantly changing disclosure and compliance regulations.

To assist in managing applicable disclosures, our team works closely with other lawyers within the firm where required, drawing on the skills and experience of lawyers in the areas of tax, finance, securities, antitrust, intellectual property, regulatory, employment, pension and benefits, real estate and litigation.

Significant Areas of Service

  • Advising on federal and state compliance issues associated with private and public offerings
  • Preparing SEC and state securities filings
  • Interacting with the staff of the SEC, state security regulators and representatives of the several national securities exchanges
  • Advising on periodic reports filed with the SEC
  • Proxy and information statements
  • Advising on Sarbanes-Oxley Act governance requirements
  • Advising on proxy contests
  • Advising on exchange governance requirements
  • Advising on public company disclosure issues
  • Advising on proxy solicitations, stockholder communications, and earnings and other press releases
  • Advising on applicable Section 16 reporting and short-swing profit obligations of directors, officers and large stockholders
  • Advising on insider trading prohibitions
  • Rule 144 resale transactions

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With more than 90 attorneys, Durham Jones & Pinegar is a leading law firm in Utah, offering a spectrum of services in various practice areas. These include Business & Finance, Commercial Litigation, Intellectual Property, Estate Planning, Real Estate, Bankruptcy, Employment, Family Law and more. The firm was named No.1 in Utah for its business and transactions law practice by Super Lawyers.

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