Richard A. Friedman

Richard A. Friedman is a partner in the Corporate Practice Group in the firm's New York office and a member of the Blockchain Technology and Digital Assets team.

Areas of Practice

Richard is principally engaged in the practice of Corporate and Securities Law, with a concentration on public offerings and private placements. His extensive experience includes reverse mergers (both domestic and foreign companies), secured and unsecured private equity financing transactions (PIPEs), as well as initial public offerings (IPOs), registered direct offerings (RDs) and shelf offerings. He also represents publicly-held companies with their 1934 Act reporting obligations and with NASDAQ, AMEX, NYSE and other exchange listing and compliance matters. In addition, he represents both public and private companies with a wide variety of corporate transactions, including mergers and acquisitions, joint ventures, employment and shareholder agreements, and the formation of private equity hedge funds. Richard’s practice also involves representation of Broker-Dealers and Registered Individuals in a wide array of matters, including ongoing compliance, regulatory inquiries and disciplinary proceedings before governmental and self-regulatory organizations, such as the SEC, FINRA, NYSE and State Securities Commissions.

Experience

Representative Transactions

• Represented Issuer in a $10 million public offering and simultaneous listing on the Nasdaq Capital Market
• Represented Underwriters in a $24 million public offering and simultaneous listing on the Nasdaq Capital Market
• Represented Placement Agent in a $30 million shelf offering for a NYSE AMEX listed company
• Represented Issuer in a reverse merger and simultaneous $15 million financing and listing on the NYSE AMEX

Honors

Top Rated Securities & Corporate Finance Attorney, Super Lawyers, 2016-2017

Articles

• "IPO Boom Offers Opportunities For Small Companies," Law360, April 5, 2017

Law of the Ledger: Blockchain Law Blog Posts

• "Recent Development in Regulatory Enforcement of Digital Securities," September 12, 2018 
• "SEC Declares Ether Is Not a Security," June 14, 2018 
• "Tokenalysis," April 1, 2018 

Corporate and Securities Law Blog Posts

• "SEC Adopts Rule Amendments Aimed at Expanding Access to Capital," November 16, 2020

• "Exchange Relief: NYSE Provides Partial Waiver for Shareholder Approval of PIPE Transactions; Nasdaq Provides Relief Regarding Continued Listing Requirements," April 21, 2020

• "Coronavirus and Guidance on SEC Disclosures," April 3, 2020

• "Gauging Interest: SEC Votes to Approve Proposal to Expand “Test-the-Waters” Rules," October 2, 2019 
• "The Effects of the SEC Shutdown on the Capital Markets," January 18, 2019
• "Recent Development in Regulatory Enforcement of Digital Securities," September 13, 2018 
• "SNAP IPO Debuts On NYSE," March 2, 2017

Media Mentions

Speaking Engagements

• Speaker, Dialogue With the Regulators - Navigating Blockchain & Fintech, November 5, 2019
• Speaker, “Assessing the Increased Use of Social Media by Public Companies,” Deal Flow Media 2011 PIPEs Conference, New York, New York, November 1, 2011
• Moderator, “Frontier Markets: Exploring International Deals Outside of the U.S. and China,” Deal Flow Media 2010 Reverse Merger Conference, Toronto, Canada, June 29, 2010
• Moderator, “Other Regional Investment Opportunities: Innovative Ideas in Asia,” Deal Flow Media 2009 International PIPEs Conference & Roadshow, Shanghai, China, March 23-25, 2009
• Panelist, “Cambodia & Vietnam: Are These Other Opportunities Like China?,” Deal Flow Media 2008 International PIPEs Conference, Hong Kong, China, April 8-10, 2008
• Speaker, “The Law and Compliance with U.S. Securities Regulations,” Going Public, LEA Management Group LLC/The Vietnam Stock Exchange, Ho Chi Minh City, Vietnam, December 1, 2007
• Moderator, “SEC Landmines in PIPE Transactions,” The 6th Annual Industry Summit on PIPEs, New York, New York, January 25-26, 2007
• Speaker, “New SEC Rules & Addressing Regulatory Obstacles,” Deal Flow Media 2006 Reverse Merger Conference, San Francisco, California, February 1, 2006

Events

Memberships

Federal Regulation of Securities Committee - American Bar Association