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Investment Management

DateTitleKnowledge Type
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
27 August 2007
New Developments in Private Fund Regulation, FINRA and New Proxy Solicitation Rules Legal Alerts

Securities

Experience Highlights

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
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
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
$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

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