Messerli Kramer regularly advises public companies of all sizes on securities regulation and corporate governance issues. Our clients look to us for guidance in complying with complex regulatory matters as well as keeping them abreast of trends and changes that will impact their business.


  • Annual, Quarterly and Periodic SEC Reports

  • Sarbanes-Oxley, Dodd-Frank and FINRA Compliance

  • Stock Exchange Listing Requirements

  • Insider Trading Reporting and Compliance

  • Registered or Exempt Securities Offerings

  • Board, Audit and Compensation Committee Assistance and Counseling

  • Proxy Statements

  • Annual Meetings

  • Equity Compensation Plans

  • Director & Officer Indemnification

  • Shareholder and Market Communications

  • Registration Statements and Prospectuses

  • Codes of Conducts and Ethics Policies

Representative Experience

  • Represented Nasdaq-listed software company in connection with underwritten public offerings of common stock, private placements, acquisitions, various agreements and SEC reporting and compliance. Since 2011, we have assisted this client in completing more than ten acquisitions, negotiating credit facilities with JP Morgan Chase, Wells Fargo, and Goldman Sachs, and raising a total of approximately $50 million in three separate public offerings.

  • Represented NYSE-listed public company with total assets of approximately $400 million in connection with SEC reporting and compliance including proxy statements, 10-Ks, 10-Qs and 8-Ks, S-8, Forms 3, 4 and 5, insider trading polices, and general corporate matters.

  • Represented Nasdaq-listed medical device company in connection with SEC registered offerings of common stock, private placements, and SEC reporting and compliance.

  • Represented foreign private issuer in connection with private placements and SEC reporting and compliance.