Kenneth C. Oh Bio:

Kenneth C. Oh is a corporate and securities attorney in the firm’s New York office. As a transactional and securities lawyer, Mr. Oh advises publicly held and privately owned clients in a variety of industries in a broad range of corporate, securities, financing, and technology transactions. His experience includes representation of publicly-held companies, private start-ups and emerging growth companies, venture capital and private equity firms, entrepreneurs, high net individuals, broker-dealers, investment advisers, and other securities professionals.

Areas of practice include advising issuers, underwriters and investors in public offerings and private placements of equity and debt offerings, advising companies and investment professionals on regulatory, compliance and reporting requirements under federal and state securities laws and SRO regulations, advising boards on corporate governance matters, and advising clients on corporate transactions, including mergers, acquisitions, divestitures, tender offers, exchange offers, and going public and private transactions.

Mr. Oh also provides business counseling to clients on a variety of other business and transactional matters, including intellectual property licensing, technology and e-commerce transactions, information security and data privacy issues, management and employee compensation and incentive plans, and joint ventures and strategic partnering transactions. Mr. Oh also has extensive experience in business and investment litigation matters.

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Title Publisher Date
Securities Offerings Chapter 9 of the New York Practice Guide, Business and Commercial, Matthew Bender & Co. 2006
A Guide to Buying or Selling a New York Business Lorman Education Services 2001

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New Rules To Facilitate Intrastate and Regional Securities Offerings
Posted on Tuesday December 08, 2015

Securities and Exchange Commission Seeks to Facilitate Intrastate and Regional Securities Offerings When the Securities and Exchange Commission (SEC) announced its finalized crowdfunding regulations in October, it also proposed additional rule amendments that would further help small businesses raise capital. The SEC’s proposal would amend existing securities rules to facilitate intrastate and regional securities offerings. The proposed SEC rules would amend Securities Act Rule 147 and Rule 504 of Regulation D. Below is a brief summary of the potential changes: Proposed Amendments to Rule 147 In its current form, Rule 147 provides a safe harbor for complying with the intrastate offering […]

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Compliance Officer Awarded $1 Million Whistleblower Award
Posted on Thursday May 07, 2015

The Securities and Exchange Commission (SEC) recently announced the whistleblower award. An award that will give more than $1 million dollars to a compliance officer who provided information resulted in an enforcement action against the whistleblower’s employer. The whistleblower award reinforces that the SEC’s program continues to play a vital role in the agency’s ability to prosecute securities fraud. Since its inception more than four years ago, the SEC’s whistleblower program has paid more than $50 million to 16 whistleblowers who provided the SEC with unique and useful information that contributed to a successful enforcement action.  In most cases, whistleblowers […]

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Here’s How To Avoid March Madness Trademark
Posted on Monday March 23, 2015

The NCAA men’s basketball tournament aka March Madness always creates a nation wide stir. While it may be tempting to incorporate the frenzy surrounding the games into your company’s marketing efforts, it is important to be mindful that “March Madness” is a trademarked phrase. History of the March Madness Trademark Dating back to the 1940s, the Illinois High School Association (“IHSA”) used the phrase “March Madness” in connection with its annual boys’ high school basketball tournament. In 1995, IHSA acquired the service mark for the phrase and subsequently issued licenses to entities like Pepsi for use in connection with the […]

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SEC Reviewing Rule Regarding Conflicting Proxy Proposals
Posted on Thursday March 19, 2015

In January 2015, Securities and Exchange Commission Chair Mary Jo White recently directed agency staff to review the scope of Rule 14a-8(i)(9) promulgated under the Securities Exchange Act of 1934 and report to the Commission on its review regarding conflicting proxy proposals. In light of the directive, the Division of Corporation Finance announced that it would express no views on the application of the rule during the current proxy proposals season. The Legal Background Pursuant to Rule 14a-8 of the Exchange Act, shareholders are authorized to submit proposals for inclusion in a company’s proxy materials for a vote at a […]

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Form D Will Now Be Able To Be Filed Over The Web
Posted on Friday February 06, 2015

Thanks to a new system launched by North American Securities Administrators Association (NASAA), paper filings may soon be a thing of the past for companies offering securities under Rule 506 of Regulation D of the Securities Act of 1933. A new online system makes filing Form D with many state securities regulators cheaper and faster. Rule 506 of Regulation D is the most commonly relied upon exemption from registration with the Securities and Exchange Commission (SEC). Thanks to the JOBS Act, it is even more popular. SEC rules now allow early stage and emerging companies to use general solicitation and […]

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