IPO regulations and reporting requirements

U.S. securities laws and accounting standards are part of what you need to know

CT image Complying with laws and regulations applicable to companies going through an initial public offering (IPO) can be operationally challenging and time-consuming. Yet failure to comply can lead to severe penalties for companies and their officers, or even stall or end the whole IPO process.

Involving qualified legal, financial and accounting advisers is critical when navigating the complexity of securities laws and regulations, from the Securities Act and the Jobs Act to Dodd-Frank, Sarbanes-Oxley and more.

Not to be overlooked is Section 404. A company will typically spend more than half a year identifying key controls and testing their operational effectiveness – and may have to add new staff or new financial reporting systems. An extensive process is unavoidable.

Get smart about requirements

Contacts Jason PizzaJason Pizza
National Leader, Transaction Accounting Support
T +1 312 602 9057

Kendra Decker Kendra Decker
Partner-in-Charge, SEC Regulatory Matters
T +1 202 521 1530