Exchange Act Reporting & Compliance Matters

The Securities Exchange Act of 1934 established ongoing reporting requirements for companies that have:

  • Securities registered under the Exchange Act (referred to as Section 12 companies); or
  • Any issuer who has had a registration statement effective under the Securities Act of 1933, in the year in which the registration statement becomes effective and, thereafter, in any year in which the securities to which the registration statement related are held of record by 300 or more persons (referred to as Section 15(d) companies).

The Exchange Act formed the basis of the reporting system and market place we know today. Companies became more regulated and more transparent to the public as the filing of quarterly, annual and other reports were mandated. We advise issuers on complying with the complex securities laws, rules and regulations applicable to such companies, including periodic reporting requirements under the Exchange Act, proxy rules, and other compliance matters, such as The Sarbanes-Oxley Act of 2002.

We recognize that with the advent of technological change and the continued innovation in ways that public companies are communicating with shareholders and the public, they are faced with more complex issues than ever before. SRFK aids its clients by keeping them informed of the latest developments and changes, and by helping them stay up-to-date and current with their responsibilities to the public. We offer fixed monthly fee arrangements for the ongoing reporting work matters, allowing for our clients to know not only what their costs will be ahead of time to stay current on a month-to-month basis, but also so that our clients understand that they can always call us and we will be available to assist them without the concern of having the clock running. We find that greater and open communication with our clients in advance of actions, the more successful and compliant they are.

Our ongoing representation for routine SEC filing matters covers the following:

  • Annual Reports on Form 10-K
  • Quarterly Reports on Form 10-Q
  • Current Reports on Form 8-K
  • Proxy Statement on Schedule 14A, as well as planning and coordinating the Client’s Annual Meetings of Shareholders
  • Shareholder Communication Matters (via press releases, social media, earnings calls, etc.)
  • Regulation FD Compliance Matters
  • Responses to SEC Comment Letters
  • Beneficial Ownership Reporting Matters for the Company’s Officers and Directors on Forms 3, 4 and 5, as well as Forms 13d or 13g
  • Other General Disclosure and Compliance Practices and Matters