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Investment Management

DateTitleKnowledge Type
18 June 2015
SEC Proposes Changes to Form ADV Legal Alerts
14 January 2014
SEC Releases 2014 Exam Priorities Legal Alerts
09 November 2010
SEC Adopts New Form ADV, Part 2 Legal Alerts
30 September 2010
SEC Proposes New Approach to Mutual Fund Asset-Based Distribution Fees Legal Alerts
26 February 2010
SEC Amends Rules for Internet Availability of Proxy Materials Legal Alerts
19 January 2010
The SEC Amends Custody Rule for Registered Investment Advisers Legal Alerts
13 July 2009
SEC Proposes Amendments to Money Market Fund Regulation Legal Alerts
17 June 2009
New Proposal Would Give Certain Shareholders the Right to Include Director Nominees in Company Proxy Materials Legal Alerts
13 February 2009
Federal Rules of Evidence - New Rule 502 Legal Alerts
10 October 2007
Heightened SEC Oversight and New Rules to Benefit Investors Legal Alerts

Securities

Experience Highlights

Mutual to stock conversion and IPO of American Financial Holdings Inc.
Represented American Savings Bank in its mutual-to-stock conversion and the related $267.3 million initial public offering by its newly formed more
$105.0 million initial public offering of Meridian Interstate Bancorp Inc.
Represented Meridian Interstate Bancorp Inc. in its $105.0 million initial public offering. more
Registered public offering of three series of corporate bonds for large U.S. tobacco company
Represented large U.S. tobacco company in its largest single securities transaction, involving a registered public offering of three series of more
Public offering for Superior Essex Inc.
Represented Superior Essex Inc. in an $86 million secondary public offering of common stock. more

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