Corporate Governance & Disclosure

Hunter Taubman Fischer & Li advises public companies regarding their regulatory compliance needs, including registration, listing, compliance, enforcement, and disciplinary matters involving the Securities and Exchange Commission (SEC), the New York Stock Exchange, the NASDAQ Stock Market, the Financial Industry Regulatory Association (FINRA), and numerous state securities regulators. Our securities attorneys include former SEC staff members who offer our clients insight into the workings of the SEC and advice on its rules and procedures.

We provide day-to-day legal advice on compliance with all applicable securities laws, including significant new developments such as the Dodd-Frank Act of 2010. 

We maintain a preeminent practice that focuses on counseling and representing public companies and boards of directors regarding regulatory matters, corporate governance and compliance, and complex securities transactions. With recent changes in the regulatory environment, it is extremely important that public companies are aware of changes to rules and regulations that govern their conduct as public entities. We assist our clients in staying current and having up-to-date knowledge of the new rules and regulations, as well as implementation of procedures required by specific rule changes.

Our firm advises clients on a wide range of governance and compliance issues. Our attorneys serve as regular outside counsel to emerging and middle-market companies. In addition, when corporate officers, independent directors or shareholders require special outside counsel for the first time, we can assemble a team providing extensive coverage focused on efficient and successful resolution of the issues.

Our lawyers also provide timely assistance with corporate governance and the “best practices” that align with the higher expectations of institutional investors. We assist with compliance programs and internal investigations, as well as SEC and government investigations, institutional shareholder issues, shareholder litigation and strategic and crisis management.