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Davis Graham & Stubbs LLP has long been recognized as the leading securities and capital markets law firm in Denver. We represent publicly traded companies in a wide range of complex matters, including:
Our team of specialists collaborates closely with other DGS attorneys in our tax and executive compensation groups to provide clients with optimal transaction structures and ways to achieve corporate financing and M&A goals.
We regularly counsel issuers and other market participants on the offering structures and regulatory issues involved in their capital raising transactions. Our securities regulation and capital markets team offers world-class guidance on disclosure, corporate governance, and structuring issues.
To keep our clients up to date on the changing landscape of capital markets rules and regulations, we regularly publish updates to our clients on recent trends and changes and host the annual DGS Public Company Update to cover developments in areas ranging from corporate governance and disclosure to enforcement and compliance.
Corporate governance & SEC Periodic Reporting
We work closely with public companies as well as boards of directors and senior management to ensure compliance with ongoing SEC reporting obligations and stock exchange rules. We also advise companies in connection with fiduciary duties and shareholder relations issues.
Our team is well acquainted with the complex factors relevant to public company boards, audit committees, compensation committees, governance committees, and executive officers, and other challenges public companies face. We counsel our clients on new SEC rules, changing proxy advisory service policies and other corporate governance initiatives that apply to public companies.
We advise public company directors and executive officers regarding their personal liability under the securities laws, including the focus on securities regulations specifically targeted at the trading activities of directors, officers, and major shareholders. We prepare, in consultation with our clients, disclosure and insider trading policies that minimize legal risk while maximizing day‐to‐day flexibility.
DGS also works with clients to structure and administer equity compensation plans in compliance with federal and state securities and tax laws. We have expertise designing employee benefit plans, including employee stock purchase programs that comply with complex regulatory requirements such as those imposed by ERISA.
DGS has worked on notable acquisitions involving public companies across industries. Set forth below are several examples demonstrating our experience and potential to serve clients in this area.
In addition, DGS represented a sponsor in a recent SPAC IPO and the firm has represented private company investors in several multi-billion-dollar de-SPAC transactions.
SEC/SRO Update: SEC Adopts Amendments to Enhance Private Fund Reporting; SEC Brings Fraud Charges Against Trump-Related SPAC; SEC Charges Operator...
SEC/SRO Update: SEC Brings Enforcement Action For Undisclosed CEO Perks; DOJ And SEC Charge Executive With Insider Trading And Misuse...
SEC/SRO Update: DOJ Obtains First Criminal Sherman Act Monopolization Conviction in Decades; SEC Proposes New Oversight Requirements for Certain Services...
Please join DGS and your public company peers for our annual update. Discussions will cover a range of topics, including...
SEC/SRO Update: SEC Proposes Cybersecurity Rules; SEC Proposes Short Sale Disclosure Rule; SEC Proposes Cybersecurity Risk Management Rules and Amendments...
SEC/SRO UPDATE: DOJ Focuses on Cryptocurrency Enforcement; SEC Staff Releases Report on Equity and Options Market Structure Conditions in Early...
Please join DGS and your public company peers for our annual update. Discussions will cover a range of topics, including...
"SEC/SRO Update: NYSE Publishes "Best Practices" Guide for Sustainability Reporting; Delaware Court Denies Motion to Dismiss Challenge to Merger Suit...
SEC Adopts Amendments to Reduce Unnecessary Burdens on Smaller Issuers by More Appropriately Tailoring the Accelerated and Large Accelerated Filer...
OCIE Releases Examination Initiatives for Registered Investment Companies; OCIE Issues Risk Alert Related to the Cash Solicitation Rule for Investment...
SEC Chairman Wants More Individuals to Invest in Private Companies; SEC Awards More Than $54 Million to 2 Whistleblowers; Elad...
NASDAQ is adopting a rule applicable to its listed companies that will require those companies to publicly disclose compensation or...
On May 17, 2016, in an attempt to rein in non-GAAP reporting by public companies, the Securities and Exchange Commission...
The American Bar Association recently published its 2015 Private Target Deal Points Study, a survey of publicly available M&A transactions...
Please join Davis Graham & Stubbs LLP, Tom McGimpsey of Advanced Energy Industries, David Harkin of J.P. Morgan Investment Banking...
When oil prices fell precipitously in the second half of 2014, many predicted that the resulting financial pressures on U.S...
On March 24, 2015, the U.S. Supreme Court decided Omnicare v. Laborers District Council Construction Industry Pension Fund, a case...
It was unrealistic to expect the oil and gas task force to resolve the recent controversy over state and local...
SEC Eases Debt Tender Offer Procedures Two recent cases from the Southern District of New York may undermine the ability...
We are now at the point in the calendar-year reporting cycle when most companies are about to commence Annual Report...
After a period of relative stability, volatility in global oil prices has returned with a vengeance in recent weeks. Slow...
Highlights SEC's Growing Ability to Employ Automated Big Data Analysis to Detect Certain Misconduct The Securities and Exchange Commission announced...
Recent trends in SEC comments issued to oil and gas companies, and an enforcement action against one such company, illustrate...
DENVER – AUGUST 15, 2013 – Forty-two Davis Graham & Stubbs LLP attorneys were named Best Lawyers® by publisher Woodward/White...
On July 10, 2013, the U.S. Securities and Exchange Commission ("SEC") fulfilled its Congressional mandate by adopting new rules that...
On July 2, 2013, the U.S. District Court for the District of Columbia vacated the rule adopted by the Securities...
Please join DGS and your public company peers for our 7th annual event. Attendees will get an in-depth look at...
