Make an Appointment with an Attorney

Schedule an appointment

(914) 684-2100 White Plains

(212) 490-2020 NYC

          I recently attended a two day Regulation D conference sponsored by the American Bar Association.   The Panel consisted of current and former SEC, FINRA and blue sky regulators, sharing their thoughts on the latest trends in private placements and Regulation D offerings.   The following are various topics discussed during the seminar.           SEC Proposed Amendment to Regulation D           In December 2006, the SEC proposed significant changes to Regulation …

Read More

SEC Expands Executive Compensation and Corporate Governance Rules

On February 28, the SEC expanded its rules regarding executive compensation and corporate governance. These changes could have profound implications for companies of all sizes. The amendments represent the SEC’s efforts to increase investor awareness of companies’ executive compensation practices and a desire to provide shareholders with a greater voice in their companies. The amendments include the following provisions: If a company’s compensation policies and practices are “reasonably likely to …

Read More