Mackenzie Hughes has expertise in representing U.S. and foreign public companies with respect to their SEC filings and compliance with the Securities Exchange Act, the Sarbanes-Oxley Act and the Dodd-Frank Act. We also assist public company clients in navigating the capital markets, advising issuers with respect to a broad array of transactions. In addition, our attorneys regularly counsel public companies and their boards of directors on corporate governance issues and best practices.
Regulatory
Our services include drafting, reviewing and advising with respect to the following:
- 10-Ks, 10-Qs, 8-Ks
- Proxy statements for annual and special meetings
- Annual reports to shareholders
- Information statements
- Forms 3, 4 and 5
- Schedule 13D and Schedule 13G
- Insider trading policies
- 10b5-1 trading plans
- Charters for audit, compensation and nominating committees
- Codes of ethics and corporate governance guidelines
- Shareholder proposals
- Shareholders rights plans
- Press releases
Transactional
Our transactional practice includes representing public companies with respect to the following:
- Initial public offerings
- Follow-on offerings
- Secondary offerings
- Shelf registrations and takedowns
- Private investments in public equities (PIPEs)
- At-the-market offerings
- Rights offerings
- Tender offers
- Exchange offers
- Proxy contests
- Listing and delisting from the NYSE, the NYSE Mkt the Nasdaq Stock Market and other exchanges and trading platforms
Attorneys
Robb P. Barrett
Partner
Richard C. Engel
Managing Partner
James H. Nicoll
Partner
News
Mackenzie Hughes Adds Three Attorneys
SYRACUSE, N.Y. – Mackenzie Hughes LLP’s Managing Partner Richard Engel announces the recent addition of attorneys Robb P. Barrett, Rebecca E. Alesi and Robert R. Hojnacki to the team. Robb P. Barrett joined the firm in January as a partner in the Business Department. He focuses on business and corporate law, mergers and acquisitions, securities […]
Mackenzie Hughes Thanks Anne B. Ruffer for her leadership role, Elects Richard C. Engel Managing Partner, Appoints James H. Nicoll Business Department Chair
Attorney Anne B. Ruffer electively stepped down as the firm’s Managing Partner effective December 31, 2023, after serving in that role for six years. During that time, she oversaw the day-to-day firm operations, worked in supporting the firm’s various practice areas, managed its fiscal responsibility, encouraged attorneys’ community involvement, and advanced the firm’s positive culture. […]