DGS counsels NASDAQ, NYSE, Amex and other public companies on a wide variety of securities and corporate matters. We have represented these companies in a large number of US and cross-border public offerings, including initial public offerings. We also handle a variety of private securities offerings by our public company clients. We work closely with public companies to ensure compliance with their ongoing reporting obligations under the Securities Exchange Act of 1934 and stock exchange rules and handle securities-related aspects of merger and acquisition transactions.

DGS lawyers have successfully counseled many clients through Sarbanes-Oxley and other corporate governance initiatives imposed on US-listed public companies, and are well acquainted with the complex factors that must be evaluated by public company boards, audit committees and executive officers in this challenging legal environment. Our lawyers also routinely advise public company directors and executive officers regarding their personal liability under the securities laws.

DGS also works with clients to structure and administer stock option and other stock-based compensation plans in compliance with federal and state securities laws. We also have expertise in designing employee benefit plans, including employee stock purchase programs, that adhere to complex regulatory requirements, including requirements imposed by ERISA.

One important area of focus for our clients is compliance with securities regulations specifically targeted at the trading activities of directors, officers and major shareholders. DGS offers significant experience in dealing with the short-swing trading restrictions imposed by Section 16 of the Securities Exchange Act of 1934. In addition, we frequently prepare in consultation with our clients disclosure and insider trading policies that minimize the client’s legal risk while maximizing day-to-day flexibility.