Thomas Friedmann

Thomas Friedmann

Dechert LLP

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Nasdaq Proposed Shareholder Approval Rules Update

Highlights - - Under NASDAQ rules, shareholder approval is required for the issuance of shares in connection with certain transactions. - NASDAQ announced that it is seeking public input on liberalizing the...more

12/8/2015 - Change of Control Nasdaq Private Placements Public Comment Publicly-Traded Companies Shareholder Approval Stock Issuance

A New Securities Offering Exemption That May Help The Markets Get Back Into The Fast Lane

Highlights - - New law adding an exemption to the registration and prospectus delivery requirements of the Securities Act of 1933 signed by President Obama. - The law, which codifies the so-called Section 4(a)(1-½)...more

12/7/2015 - Fixing America’s Surface Transportation Act (FAST Act) New Legislation Private Placements Regulation D Rule 144A Securities Securities Act of 1933 Small Offering Exemptions

Summary and Discussion of Chair White's Speech Regarding SEC Regulation

Highlights: - The SEC plans to develop a proactive and agile regulatory framework through which it can anticipate issues and address them proactively, even as the capital markets continue to undergo rapid change. -...more

11/10/2015 - JOBS Act Mary Jo White Regulation D Regulation S-X Rule 506 Offerings SEC

IPOs - Attractive Exit Alternative For Financial Sponsors

The strong U.S. initial public offering (IPO) market, coupled with favorable regulatory changes and market acceptance of innovative transaction structures, has increased the attractiveness of the IPO as an exit alternative to...more

5/28/2015 - Board of Directors C-Corporation Capital Formation Corporate Financing Corporate Structures Exit Strategies Financial Sponsor IPO JOBS Act Nasdaq Private Equity Public Offerings Sarbanes-Oxley SEC

Private Equity - Winter/Spring 2013

In This Issue: - ILPA Guidelines Have Noticeable Impact - Extracting Tax Value in Debt Refinancings and Modifications - Private Equity and Venture Capital Investing in China: Exit Strategy and Circular 698 -...more

4/29/2013 - Private Equity Private Equity Funds Venture Capital

SEC Report Embraces Communications through Social Media

The Securities and Exchange Commission (SEC) issued a report on April 2, 2013 concerning its investigation into the use of social media by public companies in the United States (Report). The Report confirms that a public...more

4/11/2013

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