Writings by Kenneth C. Oh

Kenneth C. Oh practices in the Business Law Group, with an emphasis in areas of corporate finance and securities law, mergers & acquisitions, investment banking, and broker-dealer regulation.

Client Alert

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Scarinci Hollenbeck remains committed not only to providing top-tier legal services but also to regularly providing information and resources to our client base and internet following. Client Alerts provided by our attorneys supply businesses, municipalities, and more with the latest and relevant legal updates that may impact them and how they might be able to proceed.

1-12 of 19

SEC Takes Actions Against Issuers for Failure to File Form D

In December, the U.S. Securities and Exchange Commission (SEC) announced charges against two privately held companies for failing to file a Form D notice, which is generally utilized for exempt securities offerings. Here, the SEC’s enforcement sends a strong message: compliance with regulatory requirements is not optional and failure to comply can have significant consequences. […]

Author: Kenneth C. Oh

March 18, 2025

What Is a Security? The Answer Matters for Businesses and Investors

Whether you are a business raising capital or an investor buying securities, understanding the definition of a security is important... Every offer and sale of a security is required to be registered with the Securities and Exchange Commission (SEC), unless subject to an exemption from registration under the Securities Act of 1933. So, whether you […]

Author: Kenneth C. Oh

May 10, 2022

Securities

New Leadership Pronounces SEC Enforcement Priorities

The New Leadership of the SEC’s Enforcement Division Recently Laid Out Its Enforcement Priorities for 2018 The new leadership of the Enforcement Division of the Securities and Exchange Commission (SEC) recently laid out its priorities for the upcoming year and beyond. The agency’s primary focus will be on cybersecurity, retail investors and accountability for individuals. […]

Author: Kenneth C. Oh

January 19, 2018

New Rules To Facilitate Intrastate and Regional Securities Offerings

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. […]

Author: Kenneth C. Oh

December 8, 2015

Comply Officer Awarded $1 Million Whistleblower Award

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 […]

Author: Kenneth C. Oh

May 7, 2015

Here's How To Avoid March Madness Trademark

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, […]

Author: Kenneth C. Oh

March 23, 2015

Scarinci Hollenbeck

SEC Reviewing Rule Regarding Conflicting Proxy Proposals

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 […]

Author: Kenneth C. Oh

March 19, 2015

Form D Will Now Be Able To Be Filed Over The Web

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. […]

Author: Kenneth C. Oh

February 6, 2015

Who Is a Whistleblower Under the Dodd-Frank Act?

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 […]

Author: Kenneth C. Oh

September 9, 2014

Whistleblower

Does NJ’s New LLC Law Impact Your Business?

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 […]

Author: Kenneth C. Oh

April 7, 2014

SEC Moving Forward on CEO Pay Disclosure Rules

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 toward the SEC would specifically amend existing executive compensation disclosure rules to require companies to disclose: In good news for companies, the SEC elected […]

Author: Kenneth C. Oh

November 13, 2013

SEC Proposes Long-Awaited Crowdfunding Rules

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 […]

Author: Kenneth C. Oh

November 4, 2013

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