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securities: publications
Summary Professionals Matters News Events Publications
July 2014 Corporate Alert
Edward B. Stevenson, Daniel A. Etna
Herrick's Corporate Alert touches on new developments in Delaware, New York, New Jersey, and SEC law. Also, check out Herrick Advantage for information on our events.
SEC Scrutinizes Fee and Expense Practices at Private Equity Fund Advisers
May 2014
Irwin M. Latner, Patrick D. Sweeney, Colin Bowes-Carlson
Private Fund Alert
In a recent speech, the director of the SEC's Office of Compliance Inspections and Examinations ("OCIE"), Andrew Bowden, identified key compliance issues facing private equity firms observed by OCIE since it began conducting presence exams of the industry in October 2012.
A Refresher on Private Placement Options
July 18, 2013
Richard M. Morris, Regina M. Liang
Law 360
Herrick partner Richard M. Morris and associate Regina Liang co-authored an article in Law 360, highlighting strategies and regulations public companies need to be aware of when considering the use of private placements.
Decimalization Revisited: Does Every Penny Count?
May 24, 2013
Herrick, Feinstein Partner Louis Goldberg authored a Law360 "Expert Analysis" column discussing a study of the decimalization system conducted by the U.S. Securities and Exchange Commission.
Dodd-Frank Wall Street Reform Outline
Irwin M. Latner, Stephen D. Brodie, Patrick D. Sweeney, Julie Albinsky, Jessica D. Wessel
This outline, a briefing on the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, was used during the Fourth Annual Capital Markets Symposium on September 16, 2010.