Corporate Governance
Experience
Our attorneys assist a wide range of clients with corporate governance compliance and disclosure. Our involvement includes establishing policies and procedures for exchange-listed companies, compliance with SEC requirements and exchange listing standards, and consideration of the impact of the standards of proxy advisory firms such as ISS and Glass Lewis.
We work closely with management, boards of directors and committees of the boards on a variety of issues, including board and committee composition, disclosure requirements, adherence to fiduciary duties, executive and director compensation, audit, regulatory and finance requirements, and risk management.
Representative Matters
- Assist numerous publicly-traded companies on compliance with U.S. securities law, listing standards and other regulatory requirements, including review of SEC filings and other public releases.
- Represent closely held companies with respect to adherence to corporate governance principles, intra-company lending, compliance with credit covenants, and other standard issues.
- Advise foreign companies on U.S. securities law, listing on the U.S. stock exchanges, and dispute resolution issues in the U.S.
- Representation of underwriters, placement agents and distribution agents in public and private securities offerings.
- Represented the placement agent in the placement and sale of over $1 billion of asset-backed securities, securitizing credit card, auto loan, medical and lease receivables and other contract rights.
- Developed practical and efficient procedures for clients to acquire a series of small start-up companies in roll-ups.
Team +
Special Counsel
Counsel
Associates
Newsroom +
Windels Marx Ranked by Best Law Firms® in 2024 - Nov 2, 2023
Best Lawyers in America 2024 Recognizes 30 Windels Marx Lawyers, 14 "Ones to Watch", 3 "Lawyers of the Year" - Aug 17, 2023
Windels Marx Named to the 2023 Roster of U.S. News – Best Lawyers "Best Law Firms" - Nov 3, 2022
Windels Marx Named to the 2022 Roster of U.S. News – Best Lawyers "Best Law Firms" - Nov 4, 2021
Best Lawyers in America 2022 Recognizes 22 Windels Marx Lawyers, 9 Ones to Watch - Aug 19, 2021
Bob Schwartz Quoted on Corporate Governance at NJ Community Bank - Jun 14, 2012
Publications +
New Amendments to the New York LLC Transparency Act - Apr 8, 2024
The New York LLC Transparency Law and Beneficial Ownership Reporting - Jan 16, 2024
The Corporate Transparency Act and Beneficial Ownership Reporting - Jan 16, 2024
Protecting Business Interests in the Face of Increasing Hostility to Non-Compete Restrictions - Jun 23, 2023
Nasdaq’s Board Diversity Rules - A Brief Overview - Oct 6, 2021
Michele Arbeeny, Mike Moriarty on the New York Nonprofit Revitalization Act of 2013 - May 13, 2014
Related Practice
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For 2024, Windels Marx is ranked in the Metropolitan Tier 1 (New Jersey) category for Corporate Law and the Metropolitan Tier 3 (New Jersey) category for Corporate Governance Law. Visit the Best Law Firms directory and learn more about Windels Marx recognition.