Securities

Ropka Law’s securities practice includes counseling clients on general disclosure and reporting obligations. These obligations are found under the Securities Exchange Act of 1934 and the sales of securities under the Securities Act of 1933. Regulatory agencies all over have set a high bar for public companies. We understand that the system of reporting and enforcement can be complex.

Securities law governs financial areas such as, stocks, mutual funds, and bonds in order to protect from issues like fraud, insider trading, and market manipulation. Unfortunately, there are numerous threats when it comes to securities fraud or wrongdoing, but Ropka Law seeks to ensure that our client’s investments are protected while advising them along the way.

We continually monitor developments and compliance practices related to corporate governance and advise audit committees and other board committees on their duties and responsibilities under the Sarbanes-Oxley Act of 2002 and other securities laws. Drawing on our collective knowledge and experience in the Corporate Finance and Securities, ERISA and Tax areas, we understand that the foundation of a firm’s securities practice is its ability to advise and assist in all facets of a fund’s legal operations.

For more information on our Securities services,
 we invite you to contact our office.