Louis Froelich

Louis Froelich

Mintz Levin

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Latest Publications


Beware of the Use of Derivatives in the Purchase and Sale of Private Shares

The SEC is examining the use of derivatives in the secondary market for shares of private companies. The trading of shares of private companies remains robust, and we are writing this alert to remind everyone that whether you...more

9/11/2015 - Buyers Derivatives Enforcement Actions Initial Public Offerings Private Company Shares SEC Secondary Markets Sellers Valuation

Registration Requirements Eased for Brokers and Financial Advisors in M&A Transactions

We are often asked whether a financial advisor or business broker may advise on mergers and acquisitions and similar business combinations of a privately held company in a stock transaction without having to register as a...more

3/27/2014 - Broker-Dealer No-Action Letters Registration Securities Exchange Act

PE Funds May Be Liable For Portfolio Company Pension Liabilities

Introduction - A recent decision by the U.S. Court of Appeals for the First Circuit increases the risk that a private equity fund could be liable for its portfolio company’s unfunded pension liabilities. Additionally,...more

8/15/2013 - Employee Benefits Employer Liability Issues ERISA Investment Portfolios Pensions Private Equity Retirement Plan

SEC Lifts Advertising Ban on Private Offerings: What It Means for Private Equity, Hedge and Venture Capital Funds

On July 10, the SEC adopted a new rule that will permit many private equity funds, hedge funds and venture capital funds to use general advertising and solicitation when offering and selling interests in a fund (the “New...more

7/15/2013 - Advertising General Solicitation Hedge Funds JOBS Act Private Equity Private Placements Regulation D SEC Venture Capital

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