Harrington’s capital markets team provides advice on a broad range of regulatory, reporting and listing matters and keeps abreast of evolving rules, guidance and trends.

Read Full Description

Related Capabilities

Contacts

Matthew E. Kaplan

Steven J. Slutzky

Thought Leadership

Learn More

Harrington’s capital markets team provides advice on a broad range of regulatory, reporting and listing matters and keeps abreast of evolving rules, guidance and trends. The Group provides U.S. federal securities law-related regulatory and reporting advice in a broad range of areas, including:

periodic reporting;
SEC rules and regulations and disclosure requirements;
Sarbanes-Oxley and Dodd-Frank;
NYSE and Nasdaq requirements;
insider trading;
no-action letters and other requests for regulatory guidance;
Regulation FD;
conflict minerals; and
FCPA, AML and OFAC rules

Harrington provides in-depth public company advisory services, partnering with in-house counsel and finance teams at public and private company clients to advise on capital markets and other complex transactional and compliance matters, as well as day-to-day reporting and disclosure issues. The capital markets lawyers frequently assist non-U.S. clients in navigating the complexities of the U.S. federal securities laws, and understand the differences between foreign and U.S. disclosure regimes.In addition, the team works closely across competencies, including mergers and acquisitions, employee benefits, banking, insurance, white collar litigation and enforcement to provide guidance on special assignments such as advising boards and senior management with respect to regulatory investigations, whistleblower claims and other sensitive matters.

Regulatory, Reporting and Other Advisory Services

Contacts

Featured Topic

Thought Leadership

Learn More