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SEC Services

SEC registrants face complex and intricate challenges in complying with SEC regulatory and reporting requirements.  Our wealth of knowledge regarding the challenges, complexities and demands of publicly traded financial institutions is the core of our financial institutions practice.  In addition to providing external audit services  to public institutions (whether your stock is listed on an exchange or you file with your primary regulator in accordance with SEC rules and regulations), we offer the following additional services related to public financial institutions:

• Sarbanes-Oxley compliance
• SEC reporting
• IPO and equity/debt offerings

Our team has significant experience serving SEC and public financial institutions of all sizes and complexities.  In fact, many of our partners have served as financial executives for some of the larger regional financial institutions in the Southeast.

Sarbanes-Oxley Compliance
Section 404 of the Sarbanes-Oxley Act of 2002 requires public company management to document and test key internal controls over financial reporting.  We understand SOX and its implications to your public financial institution.  We know how to implement a system to ensure compliance with the act, but we take our services one step further by identifying ways to enhance your institution's operations and improve efficiencies.  Our approach to SOX is driven by what you deem as your key financial reporting risks. 

SEC Reporting
At HORNE, we are committed to the accurate and timely communication of financial information so that the public is fully informed regarding their investment decisions in your organization.  We have financial institution team members who specialize in understanding your reporting and disclosure requirements and are ready to assist you in preparing your interim and annual reports and registration statements.

IPO and Equity/Debt Offerings
An IPO is a significant milestone for any institution.  At HORNE, we realize there is an extraordinary amount of planning and strategizing needed to prepare for the IPO. We understand that navigating through the formalities to get to the IPO is an overwhelming process.  HORNE's financial institutions team is ready to guide you through the process of going public and through procedures for subsequent equity offerings.  So whether your goal is to become a publicly traded institution or if you are already public and want to raise more equity/debt, we are ready to assist your management team.

For more information on SEC compliance and other SEC services, contact James Gordon, Rusty Butcher or Hans C. Pettit.