Bullivant has established a significant track record assisting companies in establishing and operating business entities, from family-owned operations to large public companies. Our compliance attorneys possess deep experience in corporate governance and securities regulation matters, routinely counseling clients on the responsibilities of corporations, management, boards of directors and special committees of boards of directors under federal and state laws. Our experience with corporate law enables us to recommend corporate structures and strategies and advise clients on day-to-day corporate law matters, as well as matters involving shareholder initiatives, governance issues under SEC rules and regulations and related Sarbanes-Oxley matters.

Clients look to us for advice on a wide range of issues, including corporate reorganizations, executive compensation and benefit plans, fiduciary duties of directors, practices and procedures of the board, complicated interested director transactions, and shareholder derivative claims. Our lawyers routinely assist in defining legal responsibilities of officers and directors, as well as setting up annual and special meetings of directors and shareholders. And because we understand that SEC reporting and compliance costs are constantly rising, we offer alternative fee or fixed fee arrangements for some of our SEC compliance services.

Our attorneys are experienced in a multiplicity of annual corporate filings, including those required for companies registered pursuant to section 12(g) of the Securities Exchange Act of 1934 as well as those required for foreign private issuers. We also have experience in facilitating compliance in the following:

  • Assisting public companies in connection with their periodic reporting requirements with the Securities and Exchange Commission such as Form 10-K, Form 10-Q, Form 8-K and Form 20-F;
  • Assisting public companies in proxy solicitations, shareholder communications, and proxy contests;
  • Assisting public companies in developing communication policies such as Regulation FD and advice on disclosure matters;
  • Assisting corporations, their executives and directors with compliance requirements of the Sarbanes-Oxley Act;
  • Advising officers and directors of public companies regarding Section 16 of the Securities Exchange Act of 1934 and related transaction restrictions and reporting obligations;
  • Counseling broker-dealers in regard to the Securities Exchange Act of 1934 and applicable state laws, and counseling investment advisers under the Investment Advisers Act of 1940; and
  • Compliance with the requirements of public listing on the OTCBB, NASDAQ, NYSE, NYSE Ames, and TSX.