Home About Attorneys Legal Services News & Events Contact Bank Regulatory and Enforcement Services Luse Gorman’s regulatory compliance and enforcement practice is an integral part of the services we offer our clients. Not only is our team familiar with the practices, policies and personnel of the Federal Reserve Board, the OCC, the FDIC, the CFPB, the Treasury Department, many state banking and securities agencies, and the Securities and Exchange Commission, but many of our attorneys worked at these agencies before joining our law firm. Our Washington, DC location also affords us proximity to the federal regulators, who generally oversee decisions made by district or regional offices and play an integral part in all regulatory compliance and enforcement matters. We also interact routinely with many state banking regulators who oversee applications by our state-chartered clients. Bank Regulation and the Applications Process Regulatory Examinations, Investigations and Enforcement Foreign Banking Institutions Luse Gorman, PC 5335 Wisconsin Avenue, NW Suite 780 Washington, D.C. 20015 Phone: 202.274.2000

Home About Attorneys Legal Services News & Events Contact Public Company Reporting and Shareholder Relations We have a large base of publicly traded holding companies and banks. As a result, a significant part of our practice involves assisting these companies in preparing and filing their periodic reports with the SEC (or the FDIC), including Forms 10-Q, 10-K, 8-K and shareholder proxy statements. We also advise clients on listing options on national securities exchanges. Many of our clients also rely on us to advise them on the selection of a transfer agent, and communications with FINRA as well as proxy advisory services such as ISS and Glass Lewis. Disclosure issues present some of the most challenging questions under the federal securities laws, and we are routinely asked by our clients to review press releases and other public disclosures, as well as advise them when and whether it is appropriate to disclose information to the public. A significant part of our public company and shareholder relations practice also involves advising clients on annual meeting matters, including the timing for including new SEC regulatory requirements, say-on-pay and executive compensation matters, shareholder proposals and dealing with shareholder activists. We routinely advise companies on proxy contests and strategies for both dealing with and winning proxy fights with activist shareholders. We also advise clients regarding the impact of new SEC regulations and changes in listing requirements for NASDAQ and the New York Stock Exchange, as well as the advantages and disadvantages of deregistering as a reporting company with the SEC. Luse Gorman, PC 5335 Wisconsin Avenue, NW Suite 780 Washington, D.C. 20015 Phone: 202.274.2000