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Updated: November 1st, 2021 | New York City | Lawyer List R | Phillips Nizer LLP | International, Real Estate, Securities,
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Address: 485 Lexington Avenue, 14th Floor, new-york, NY, 10017
Law Firm: Phillips Nizer LLP
Phone: (212) 841-0700
Fax: 212-262-5152
Email:
Website: http://www.phillipsnizer.com
| Title | Partner |
| First Year of Call | |
| Areas of Practice | Securities, International, Real Estate |
| Description | Brian Brodrick is presently engaged in several major areas of corporate practice, including representation of both foreign and domestic issuers in public and private securities offerings (including ADR offerings), preparation of SEC periodic reporting documents, mergers and acquisitions, fund formation, state securities law work, and preparation of general corporate and financing documents.Brian regularly represents companies in a wide range of fields, including real estate, mineral exploration and development, retail energy distribution, technology, healthcare and the internet.Brian’s practice includesRepresenting companies in public offerings of equity and debt securities, including underwritten initial and secondary offerings, selling stockholder offerings, best efforts and direct offerings and rights offerings; Representing companies in PIPE and other types of private placement offerings of equity and debt securities pursuant to Regulation D, Regulation S and Rule 144A; Representing foreign companies, including Australian, Canadian and Israeli companies, in various public and private securities offerings in the United States, including ADR offerings; Representing companies in listing on the New York and American Stock Exchanges and the NASDAQ Stock Market and on the OTC Bulletin Board and on ongoing compliance issues related to such listings; Advising companies and their Boards of Directors concerning Sarbanes-Oxley and other corporate governance and fiduciary duty requirements; Representing public and private companies in connection with merger and acquisition and corporate reorganization transactions; and Formation of venture capital and private investment funds.News & Publications Legal Alert – Securities Law – Revisions to SEC MDA Rules – December 2020 12/23/2020On November 19, 2020, the Securities and Exchange Commission (SEC) adopted significant amendments to the financial disclosure rules under Regulation SK of the Securities Act of 1933, as amended (the Securities Act). Legal Alert – SEC Adopts Amendments to Shareholder Proposal Rules10/20/2020On September 23, 2020, the Securities and Exchange Commission (SEC), adopted amendments to Rule 14-8 under the federal proxy rules, which govern the manner in which shareholders may seek to include a proposal in a company’s proxy statement to shareholders. Rule 14a-8 requires companies that are subject to the federal proxy rules to include certain shareholder proposals in their proxy statements, subject to certain procedural and substantive requirements. The amendments will apply to any proposal submitted for an annual or special meeting to be held on or after January 1, 2022. The amendments also provide for a transition period with respect to the ownership thresholds that will allow shareholders meeting specified conditions to rely on the current $2,000/one-year ownership threshold for proposals submitted for an annual or special meeting to be held prior to January 1, 2023. Legal Alert – SEC Modernizes Business, Legal and Risk Factor Disclosure Items of Regulations S-K 09/09/2020On August 26, 2020, the Securities and Exchange Commission (the SEC) adopted amendments to modernize the business (Item 101), legal proceedings (Item 103), and risk factor (Item 105) disclosure requirements of Regulation S-K under the Securities Act of 1933, as amended (the Securities Act), which are applicable to periodic reports and registration statements filed by public companies. Securities Law and Practice Legal Alert – Amendments to SEC Accredited Investor Definition 08/31/2020On August 26, 2020, the Securities and Exchange Commission (SEC), adopted amendments to the definition of accredited investor in Rule 501 of Regulation D under the Securities Act of 1933, as amended (the Securities Act) to add new categories of qualifying natural persons and entities and to make certain other modifications to the existing definition. According to the SEC, the amendments are intended to update and improve the definition to identify more effectively investors that have sufficient knowledge and expertise to participate in investment opportunities that do not have the rigorous disclosure and procedural requirements, and related investor protections, provided by registration under the Securities Act. Legal Alert: SEC Adopts Amendments to Financial Disclosures about Acquired and Disposed Businesses 06/29/2020In May 2020, the Securities and Exchange Commission (SEC) adopted major changes (the Amendments) to its rules and forms relating to the historical and pro forma financial statements and information that must be provided by public companies in connection with business acquisitions and dispositions. The Amendments are effective on January 1, 2021. Voluntary early compliance with the Amendments is permitted in advance of the mandatory compliance date provided that the Amendments are applied in their entirety from the date of early compliance. Legal Alert – New SEC Mining Disclosure Regulations 05/28/2020Major changes to SEC Disclosure Rules For Mining Companies Will Become Mandatory in 2021. In October 2018, the Securities and Exchange SEC (SEC) adopted major changes (the New Mining Disclosure Rules) to the SEC’s disclosure regulations for public mining companies. Registrants have been permitted to comply with the New Mining Disclosure Rules on a voluntary basis since 2019, but they will become mandatory for fiscal years beginning on or after January 21, 2021. For mining company registrants that have not already begun to comply with the New Mining Disclosure Rules on a voluntary basis, it is not too early to become familiar with the new Rules. PN Practical News – Paycheck Protection Program 04/02/2020 SEC Adopts New Rules to Facilitate Securities Offerings By Emerging Growth Companies and Smaller Reporting Companies 02/01/2016 Syndication of Financing for a New York Condominium Development Project Together with the Grant of Options for Purchase of Condominium Units 07/01/2013 Fund Formation & Investment Management Alert – SEC Staff Permits Sponsors to Operate Online Platforms That Facilitate Investments In Early Stage Companies Without Registration As A Broker-Dealer 05/01/2013 SEC Issues Report Concerning Use of Social Media By Public Companies to Disclose Material Information 04/01/2013 A Guide to Crowdfunding for Companies Seeking to Raise Capital (a publication of Phillips Nizer LLP) 06/01/2012 Securities Law Alert – SEC Staff Issues Disclosure Guidance Concerning Cybersecurity 10/03/2011 Securities Law Alert – SEC Rule Amendments Give Shareholders Advisory Votes on Executive Compensation and Golden Parachute Arrangements 02/01/2011 Securities Law Alert – Securities and Exchange Commission (SEC) Adopts New Rules Regarding Proxy Materials 09/01/2010 SEC Issues Staff Report Recommending Life Settlements Be Defined As Securities 09/01/2010 Fund Formation & Investment Management Group Alert – President Signs Financial Reform Legislation Into Law 07/01/2010 Securities Law Alert – SEC Staff Declines to Permit a Finder in a Securities Offering to Receive Transaction-Based Compensation Without Being Registered as a Broker-Dealer 06/01/2010 Securities Law Alert – SEC Adopts New Disclosure Rules Concerning Compensation Policies and Practices, Director Qualifications and Related Matters 01/01/2010 Securities Law Alert – SEC Adopts Rules Requiring Public Companies to Provide Financial Statement Information In An Interactive Electronic Format 05/01/2009 Securities Law Alert – SEC Adopts Significant Amendments to the Rules Governing Foreign Companies That Are Publicly Traded in the United States 10/01/2008 Securities Law Alert – SEC Adopts Amendments to Rule 12g3-2(b) to Facilitate Trading By Foreign Private Issuers in the Over-The-Counter Market Without Registration Under the Exchange Act 09/30/2008 Securities Law Alert – SEC to Require Electronic Filing of Form D and Adopts Significant Changes to the Text of Form D 09/01/2008 Securities Law Alert – SEC Adopts Significant Changes to Rule 144 and Rule 145 and Eases Regulatory Burdens for Smaller Public Companies (January 2008) 01/30/2008 |
Resourceful Representation (TM)Phillips Nizer LLP has been engaged in a wide-ranging international and domestic legal practice since 1926. Our size and diversity of our practice enable us to be a full-service law firm in virtually all areas of law while affording clients close contact and working relationships with partners and associates.Our attorneys focus on the realities of our clients’ continually evolving business needs. Whether…
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