Kenneth C. Oh Attorney at Law
Kenneth C. Oh
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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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Is Your Form 4 Up to Date? SEC Crackdown Targets Delinquent Filers
Posted on Thursday October 02, 2014

Securities and Exchange Commission (SEC) Chair Mary Jo White previously warned registrants that no violation was too minor to warrant an enforcement action. The agency recently put her words to action by charging 34 individuals and businesses with neglecting their disclosure obligations under the Exchange Act of 1934. Exchange Act Filing Obligations Under the Securities Exchange Act, a material change in the holdings of company insiders triggers disclosure obligations. Section 16(a) requires corporate officers, directors, and certain beneficial owners of more than 10 percent of a registered class of a company’s stock to use Form 4 to report their transactions […]

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Who Is a Whistleblower Under the Dodd-Frank Act?
Posted on Tuesday September 09, 2014

When read together, Dodd-Frank is ambiguous as to whether a whistleblower must complain directly to the SEC in order to qualify as a whistleblower and benefit from the law’s anti-retaliation protections. The SEC’s implementing rule provides protection from retaliation to workers who make protected disclosures regardless of whether they report the information to the SEC or another source. However, courts disagree over whether the agency’s interpretation should be given deference. In Asadi v. G.E. Energy (USA), LLC, the Fifth Circuit Court of Appeals limited the scope of protection to those who report directly to the SEC. Earlier this summer, the […]

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Does New Jersey’s New LLC Law Impact Your Business?
Posted on Monday April 07, 2014

New Jersey’s Revised Uniform Limited Liability Company Act (the “Revised Act”) became effective on March 1, 2014. The Revised Act was effective as of March 18, 2013 for newly formed LLCs and now applies to all New Jersey LLCs regardless of when formed. The changes in the law are significant enough to warrant managers and members conducting a thorough review of their Operating Agreement. A few changes by the new law include: Duration The Revised Act eliminates the default rule that unless otherwise set forth in the LLC’s Certificate of Formation, the LLC had a limited existence. LLCs have perpetual duration […]

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SEC Moving Forward on CEO Pay Disclosure Rules
Posted on Wednesday November 13, 2013

The Securities and Exchange Commission (SEC) is moving forward on rules that will require companies to disclose their CEO-to-worker pay ratio. The rule is mandated under the Dodd-Frank Act. The proposal would specifically amend existing executive compensation disclosure rules to require companies to disclose: The median of the annual total compensation of all its employees (excluding the CEO); The annual total compensation of its CEO; and The ratio of the two amounts. In good news for companies, the SEC elected not to devise any particular methodology for making the required calculations. Rather, the proposed rules would allow companies to select […]

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SEC Proposes Long-Awaited Crowdfunding Rules
Posted on Monday November 04, 2013

After months of delays, the Securities and Exchange Commission (SEC) finally released proposed rules pursuant to the JOBS Act to permit companies to offer and sell securities through crowdfunding. While crowdfunding has become a popular way to raise money online, securities regulations kept it out of reach for many investors and small businesses. Once final rules are adopted, start-ups and growing ventures will be permitted to solicit investments from “everyday” investors using the Internet. The SEC’s proposed rules to implement the JOBS Act provisions set forth the regulatory framework under which equity crowdfunding will operate. Some of the most significant […]

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