An essential feature of Gottbetter & Partners, LLP's comprehensive compliance and reporting service for publicly trading companies is our ability to advise individual directors, officers and principal stockholders about their responsibilities under the various SEC rules under Sections 13 and 16 of the Securities Exchange Act of 1934. Our attorneys work with corporate clients and their principals on their trading and disclosure obligations as part of the SEC compliance work covered under our flat fee.
Understanding Section 13 and 16 Disclosure and Reporting Obligations
Contact our office in New York to learn more about the best ways to manage your company's and your directors' and officers' SEC disclosure obligations while avoiding liability for insider trading or other regulatory violations. We advise clients about the full range of Section 13 and Section 16 filing, reporting and disclosure responsibilities. Here are some of the specific regulations of greatest interest to our clients:
- Rule 13a-1: Annual reports by issuers of registered securities
- Rule 13a-14: Certification of disclosures on Form 10-K and 10-Q reports
- Rule 13a-15: Disclosure of controls and procedures related to preparation of an issuer's periodic or required reports
- Rule 13b2-2: Representation and conduct related to preparation of an issuer's required reports and documentation
- Rule 13d-1: Acquisitions of more than five percent (5%) of any class of an issuer's equity securities
- Schedules 13D and 13G Disclosure statements by persons covered under Rule 13d-1
- Rule 16a-3: Reporting securities holdings and transactions by directors, officers and principal shareholders
- Rule 16b-3: Exempt transactions between an issuer and its officers or directors
In connection with our work on Section 13 and 16 compliance issues, G&P lawyers also advise companies about the use of Rule 10b5-1 trading plans to help officers, directors and other affiliates trade in their company's securities without running afoul of insider trading problems and recommending broker/dealers who can assist in executing such stock plans.
Fully Integrated Client Service in SEC Compliance Reporting
G&P's clients benefit from our ability to integrate solid compliance fundamentals into their corporate finance operations and capital planning needs while preserving a high degree of flexibility and responsiveness to market conditions. For more information about this aspect of our practice, contact our office in New York City.
