Close

McAfee & Taft has served more clients in the public arena than any other firm in Oklahoma. Our well-earned reputation in the area of securities law dates back to our firm’s namesakes, Kenneth McAfee and Richard Taft, who assisted clients in registering the nation’s first national drilling fund with the Securities and Exchange Commission (SEC), as well as the first international drilling fund. More than 60 years later, raising capital through securities offerings and other complex financing structures remains an integral area of law that requires a sophisticated understanding of transactions and compliance issues.

Our lawyers have a solid reputation and significant depth of experience in equity and debt offerings. The firm represents public companies in ensuring compliance with the reporting requirements of the Securities Exchange Act of 1934, compliance with continued listing requirements of national stock exchanges, and the corporate governance requirements of the Sarbanes-Oxley Act.

The firm’s specific experience in the areas of securities and company governance law extends across the following areas: 

Securities Offerings

  • Registered initial public offerings (IPOs)
  • Registration of mutual funds, exchange-traded funds, closed-end funds, insurance company separate accounts, and other investment companies and investment advisors to the investment companies
  • Shelf, secondary and other registered offerings
  • Options, warrants, debentures, notes and convertible securities
  • Private placements
  • Rule 144A offerings
  • Leveraged leasing
  • Asset-backed offerings and financings
  • Venture capital and private equity investments
  • Debtor-in-possession financing

SEC Exchange Reporting

  • Review of Annual Reports on Form 10-K
  • Review of Quarterly Reports on Form 10-Q
  • Review of Current Reports on Form 8-K, as well as discussions and determinations for the need to file Current Reports
  • Review and advice regarding filing Section 16 Reports and Section 16 Compliance, including Form 3s, 4s and 5s, and Insider Trading Policies
  • Review and advice regarding 13-D Reports
  • Review and advice regarding Annual Proxy Statement preparation

Public Disclosure

  • Review and advice with regard to press releases
  • Review and advice with regard to Regulation FD compliance

Company Governance

  • Company governance guidelines
  • Audit committee charter
  • Compensation committee charter
  • Company governance and nominating committee charter
  • Code of ethics and business conduct
  • Code of ethics for senior officers
  • CEO and CFO certifications
  • Insider trading policy
  • Corporate disclosure policy
  • Whistleblower policy for accounting and audit matters
  • Director and executive officer questionnaires
  • Update on SEC regulatory matters prior to each quarterly board meeting
  • General advice regarding compliance with the Sarbanes-Oxley Act of 2002

 

Practice Group Leader

Justin  Jackson

At The Podium