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DateTitleKnowledge Type
03 July 2017
Regulation 14C and the Effectiveness of a Non-Unanimous Shareholders' Written Consent
Source: Corporation, Section 2, Vol. LXXXVIII, No. 13
Articles
09 May 2017
SEC Amends Crowdfunding Rules
Source: JD Supra
Articles
09 May 2017
General Solicitations of Certain Regulation D “Private” Securities Offerings: SEC Affirms Zero-Tolerance Policy
Source: JD Supra
Articles
19 April 2017
SEC Issues Guidance to Robo-Adivsers
Source: JD Supra
Articles
05 April 2017
SEC Issues Custody Rule Guidance Legal Alerts
27 January 2017
Effects of the DOL Fiduciary Rule Reach Mutual Fund Industry
Source: Kilpatrick Townsend Investment Management News & Notes Blog
Articles
25 January 2017
Constitutionality of SEC Judges Questioned
Source: Kilpatrick Townsend Investment Management News & Notes Blog
Articles
25 January 2017
Consumer Payments in 2017: Regulatory Developments and Prospects For Consumer Gift Cards, Prepaid Cards, and Other Consumer Electronic Payment Methods Podcasts
17 January 2017
SEC Announces 2017 Exam Priorities
Source: Kilpatrick Townsend Investment Management News & Notes Blog
Articles
19 December 2016
7 Securities Law and Regulatory Changes Likely to be Considered During the Trump Administration
Source: Kilpatrick Townsend Investment Management News & Notes Blog
Articles
16 September 2016
Insider Trading: A Danger for New Lawyers
Source: The Huffington Post
Articles
01 June 2016
Spoofing: A Proposal for Normalizing Divergent Securities and Commodities Futures Regimes
Source: Wake Forest Law Review
Articles
20 April 2016
High-Frequency Traders: A Plan to Eliminate the Abuses Without Losing the Benefits
Source: Wake Forest Law Review
Articles
01 January 2016
REMIC ISsues in CMBS 2.0 - Things You Should Never Say (Or Do)
Source: CRE Finance World
Articles
17 November 2015
SEC Adopts Final Crowdfunding Rules Legal Alerts
03 November 2015
Making the Tough Call on Trust Preferred Securities
Source: Bank Director
Articles
19 October 2015
Hillary Clinton and High-Frequency Trading
Source: The Huffington Post
Articles
09 October 2015
Hillary Clinton’s High-Frequency Trading Mistake
Source: The Huffington Post
Articles
18 June 2015
SEC Proposes Changes to Form ADV Legal Alerts
20 May 2015
State Securities Regulatory Update
Source: The Review of Securities & Commodities Regulation
Articles
15 April 2015
SEC Adopts Final Regulation A+ Rules Ushering in New Era of Capital Raising Legal Alerts
15 March 2015
State Regulatory Update
Source: SIFMA Compliance & Legal Society
Articles
30 March 2014
State Regulatory Update
Source: SIFMA Compliance and Legal Society
Articles
14 January 2014
SEC Releases 2014 Exam Priorities Legal Alerts
25 October 2013
SEC Finally Proposes Crowdfunding Rules Legal Alerts
04 October 2013
SEC Proposes Rule for Pay Ratio Disclosure Legal Alerts
05 August 2013
Rule 506(c) And The Future Of Private Placement Practices
Source: Law360
Articles
15 July 2013
SEC Opens the Door to General Solicitation and Advertising in Private Placements Legal Alerts
18 March 2013
Nasdaq Proposes New Internal Audit Function Requirement Legal Alerts
23 October 2012
Will the SEC's Recently Adopted Conflict Minerals Rule Impact You? Legal Alerts
30 August 2012
The JOBS Act: What to Expect from the Not-So-Private Private Placement
Source: VCExperts
Articles
27 April 2012
The JOBS Act: What to Expect from the Not-So-Private Private Placement Regulations
Source: Corporate Compliance Insights
Articles
24 April 2012
The JOBS Act: What to Expect from the Not-So-Private Private Placement Regulations Legal Alerts
16 April 2012
SEC Interprets JOBS Act Changes to Registration and Deregistration Requirements Legal Alerts
05 April 2012
New JOBS Act Facilitates Private and Public Capital Formation Legal Alerts
20 January 2012
Information Statements Due by January 31, 2012 for ISO Exercises and ESPP Stock Transfers Legal Alerts
18 October 2011
SEC Issues Disclosure Guidance for Cybersecurity Risks and Incidents Legal Alerts
31 January 2011
SEC Adopts Final Rules to Implement Advisory Vote on Executive Compensation and Golden Parachute Payments Legal Alerts
09 November 2010
SEC Adopts New Form ADV, Part 2 Legal Alerts
01 November 2010
SEC Proposes Rules to Implement Advisory Vote on Executive Compensation and Golden Parachute Payments Legal Alerts
05 October 2010
SEC Stays the Effect of Proxy Access Rules Legal Alerts
30 September 2010
SEC Proposes New Rules and Issues Current MD&A Guidance on Short-Term Borrowing Legal Alerts
30 September 2010
SEC Proposes New Approach to Mutual Fund Asset-Based Distribution Fees Legal Alerts
02 September 2010
SEC Adopts Final Proxy Access Rules Legal Alerts
16 July 2010
Executive Compensation and Corporate Governance Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act Legal Alerts
01 April 2010
Stock Recommendations Declared Protectable “Hot News” Legal Alerts
22 March 2010
Corporate Governance Roundtable
Source: Financier Worldwide
Articles
26 February 2010
SEC Amends Rules for Internet Availability of Proxy Materials Legal Alerts
23 February 2010
SEC Proposes Amendments to Modernize Rule 10b-18 Safe Harbor Regarding Issuer Repurchases Legal Alerts
19 January 2010
The SEC Amends Custody Rule for Registered Investment Advisers Legal Alerts
18 December 2009
SEC Adopts New Rules Expanding Executive Compensation and Corporate Governance Disclosure Requirements Legal Alerts
10 December 2009
SEC Approves Revised NYSE Corporate Governance Requirements Legal Alerts
28 October 2009
FASB's Recent Codification of Accounting Standards to Affect Upcoming SEC Filings Legal Alerts
22 October 2009
SEC Proposes Amendments to Notice and Access Proxy Rules Legal Alerts
08 October 2009
SEC Sets Deadline for Smaller Reporting Companies to Provide SOX Independent Auditor Assessment of Internal Control Over Financial Reporting Legal Alerts
05 October 2009
Debunking the Myth About ‘Big-City’ Corporate Lawyers
Source: North Carolina Lawyers Weekly
Articles
18 August 2009
Say-On-Pay Proposals Lead Regulatory Reform
Source: Law 360
Articles
17 July 2009
SEC Proposes New Rules Expanding Executive Compensation and Corporate Governance Disclosure Requirements Legal Alerts
13 July 2009
SEC Proposes Amendments to Money Market Fund Regulation Legal Alerts
06 July 2009
Supreme Court Permits State Enforcement Authority Over National Banks Legal Alerts
30 June 2009
FDIC Revises Annual Audit and Reporting Requirements Legal Alerts
17 June 2009
New Proposal Would Give Certain Shareholders the Right to Include Director Nominees in Company Proxy Materials Legal Alerts
09 April 2009
Consolidation in the Financial Sector and the Changing Role of Antitrust Law Legal Alerts
13 March 2009
Stimulus Legislation Provides Tax Relief for Certain Debt Restructurings Legal Alerts
05 March 2009
SEC Adopts Revisions to Form D and Mandates Electronic Filing Legal Alerts
26 February 2009
Stimulus Legislation Provides Targeted Benefit for Certain S Corporations Legal Alerts
13 February 2009
Federal Rules of Evidence - New Rule 502 Legal Alerts
08 August 2008
SEC Issues Guidance on Use of Company Web Sites to Disseminate Information to Investors Legal Alerts
10 October 2007
Heightened SEC Oversight and New Rules to Benefit Investors Legal Alerts
27 August 2007
New Developments in Private Fund Regulation, FINRA and New Proxy Solicitation Rules Legal Alerts
20 July 2007
SEC Publishes Compliance Alert Legal Alerts
15 April 2007
Insurance Products? Securities? The Lines Continue to Blur and the Regulators Continue to be Concerned
Source: National Regulatory Services
Articles
21 December 2006
Securities Law Legal Alerts
11 August 2006
SEC Adopts Major Changes in Executive Compensation Disclosure Legal Alerts
31 January 2006
Recent Developments for Annual Reports on Form 10-K; Proposals for Proxy Statement Disclosures Legal Alerts
24 January 2006
SEC to Propose Major Changes in Executive Compensation Disclosure Legal Alerts
18 January 2006
SEC Clarifies When It Will Seek Civil Penalties Against Public Companies for Securities Law Violations Legal Alerts
20 December 2005
SEC Relieves Some Pressures on Periodic Reporting; Extends Some Deadlines; Redefines Accelerated Filer Legal Alerts
20 December 2005
SEC Proposed Rules Should Restore Use of Tender Offers in Friendly Cash Mergers Legal Alerts
25 February 2004
Negotiating D&O Policies in Today’s Market: Key Terms and Conditions to Consider
Source: Review of Securities and Commodities Regulation, Vol. 37, No. 4
Articles
07 September 2003
State Broker-Dealer Enforcement
Source: National Regulatory Services
Articles
02 October 2002
CRD Potpourri
Source: National Society of Compliance Professionals
Articles
01 December 2001
Money Managers and Information Technology Outsourcing Agreements
Source: The Investment Lawyer
Articles
30 June 2001
Building a Strong Board of Directors/Advisors & Board Best Practices Primer
Source: Building a Strong Board of Directors/Advisors & Board Best Practices Primer
Articles
01 June 2001
Personal Liability of Board Members
Source: Building a Strong Board of Directors/Advisors & Board Best Practices Primer
Articles
01 June 2001
Indemnification of Board Members
Source: Building a Strong Board of Directors/Advisors & Board Best Practices Primer
Articles
01 June 2001
Legal Duties of Board Members
Source: Building a Strong Board of Directors/Advisors & Board Best Practices Primer
Articles
01 June 2001
Directors and Officers' Liability Insurance
Source: Building a Strong Board of Directors/Advisors & Board Best Practices Primer
Articles
01 March 2000
State Broker-Dealer Enforcement
Source: Practising Law Institute
Articles
01 March 2000
Servicing Securitized Loans -- More Tax Issues Are Involved Than Meet the Eye
Source: Journal of Bank Taxation
Articles
01 September 1999
Servicing Commercial Mortgage Securitizations
Source: Lanoka Publishing Company
Articles
01 April 1999
State Issues for SEC Registered Investment Advisors
Source: National Regulatory Services
Articles
01 December 1997
The Duty to Update the Forecasts, Predictions and Projections of Public Companies
Source: American Bar Association's Jurimetrics
Articles
19 November 1997
Development in State Regulation of Broker-Dealer
Source: The Review of Securities & Commodities Regulation
Articles
01 February 1997
How Planner Will Be Affected by New Investment Advisor Regulatory Scheme
Source: Journal of Financial Planning
Articles
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Simultaneous roll-up/combination of nine companies and initial public offering to form an NYSE-listed public company
Represented principal founding company and sponsor of the roll-up/combination of nine private companies and simultaneous initial public offering and more
Underwriter's counsel for Sandler O'Neill + Partners L.P. in a $516.3 million public offering
Represented the underwriter, Sandler O'Neill + Partners L.P., in the $516.3 million initial public offering by Investors Bancorp, Inc. more
Public offering of common stock by Northfield Bancorp, Incorporated
Represented the underwriter, Sandler O' Neill & Partners, L.P., in a $355.6 million public offering of common stock by Northfield Bancorp, Inc. more
Mutual to stock conversion and IPO of Newport Federal Savings Bank
Represented Newport Federal Savings Bank in its mutual to stock conversion and the related $45.2 million initial public offering by its newly public more

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