Securities Offerings & Reporting

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We serve as securities and corporation counsel to companies in connection with raising capital in private and public offerings. Our clients include public and closely-held corporations, limited liability companies, partnerships, securities broker-dealers, investment advisors and other clients located in Colorado, the Rocky Mountain region and other parts of the country.

We also counsel public companies regarding:

  • Compliance with securities regulations and SEC periodic reporting requirements including drafting annual and quarterly reports; preparing registration statements; and compliance with Section 16 reporting requirements;
  • Preparation of proxy statements for annual and special meetings of shareholders; preparing scripts and other documents for shareholder meetings and attending same as counsel;
  • Public disclosure and investor relations issues; reviewing press releases, website disclosures and compliance with disclosure rules;
  • Compliance with recent securities laws, such as Sarbanes-Oxley (SOX) and Dodd-Frank.
  • Insider trading prevention programs, codes of conduct, comprehensive corporate compliance programs and the Williams Act: and
  • Assisting with internal corporate investigations.

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