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919 Third Avenue
New York, New York 10022
United States of America
P: +1 212.756.2524
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Michael R. Littenberg, a partner in the New York office, specializes in corporate finance and ongoing securities law compliance, mergers & acquisitions, and venture capital transactions.
Michael is a frequent speaker at conferences and seminars, has authored numerous articles and is frequently quoted as an expert in the business and specialty press on topics pertaining to his areas of expertise. Michael is listed in Who's Who in Securities Law and in New York Super Lawyers for securities and corporate finance. He received his J.D., magna cum laude, from Tulane University Law School, where he was an editor of the Tulane Law Review and a member of the Order of the Coif, and his B.S. from Indiana University.
Selected Publications
“Keeping Current: Securities—Are Your Regulation FD Compliance Procedures Sufficient?,” Business Law Today, January/February 2010
“Not Business as Usual for IR: The New Year Rings in New Responsibilities,” IR Alert, Jan. 14, 2010
“SEC Amends Disclosure Requirements for the 2010 Reporting Season,” SRZ Client Alert, December 17, 2009
“Nasdaq Modifies Advance Notification Requirement,” SRZ Client Alert, December 9, 2009
“Are Your Regulation FD Compliance Procedures Sufficient?,” SRZ Client Alert, October 8, 2009
“NYSE Reduces Public Float Listing Requirement and Amends Listing Fees,” SRZ Client Alert, September 23, 2009
“NYSE Reduces Minimum Global Market Capitalization Requirement and Extends Suspension of Minimum Share Price Requirement,” SRZ Client Alert, July 6, 2009
“NYSE Rule 452 Amended to Eliminate Broker Discretionary Voting In Uncontested Elections,” SRZ Client Alert, July 2, 2009
“NYSE Changes Its Immediate Release Policy,” SRZ Client Alert, May 7, 2009
“XBRL Adoption Requires Form Changes in Upcoming 10-Q and 10-K Filings,” SRZ Client Alert, April 23, 2009
“Nasdaq Continues Suspension of Listing Requirements Through July 19, 2009,” SRZ Client Alert, March 31, 2009
“Making Lemonade from Lemons: Issuer Bond Repurchases,” SRZ Private Equity Developments, Spring 2009
“NYSE Provides Temporary Relief from Minimum Global Market Capitalization Requirement,” SRZ Client Alert, Jan. 28, 2009
“Drafting the 2009 CD&A,” SRZ Client Alert, Jan. 12, 2009
“Nasdaq Extends Suspension of Listing Requirements,” SRZ Client Alert, Dec. 30, 2008
“XBRL: What You Need to Know Now,” SRZ Client Alert, Dec. 18, 2008
“Are You Ready for Electronic Proxy Delivery?,” SRZ Client Alert, Dec. 15, 2008
“Nasdaq and NYSE Continued Listing Requirements–A Primer for Turbulent Times,” SRZ Client Alert, Dec. 8, 2008
“NYSE and Nasdaq Modify Director Independence Rules,” SRZ Client Alert, Oct. 9, 2008
“SEC Provides New Guidance on the Use of Company Websites,” SRZ Client Alert, Sept. 26, 2008
“New Nasdaq Rule Allows SPAC Listings,” SRZ Client Alert, Sept. 4, 2008
“SEC Approves One-Year Extension of SOX Section 404(b) Compliance Date for Non-Accelerated Filers,” SRZ Client Alert, June 26, 2008
“New NYSE Rule Allows SPACs to List on 'Big Board',” SRZ Client Alert, June 18, 2008
“SEC Proposes Mandatory XBRL Tagging,” SRZ Client Alert, May 30, 2008
“SEC Sets Fee Rate for Fiscal Year 2009,” SRZ Client Alert, May 21, 2008
“Time To Add SPACs To Your Repertoire?,” Buyouts, March 31, 2008
“SPACs and the Alternative Asset Manager–Not Your Garden Variety SPAC,” SRZ Client Alert, Feb. 29, 2008
“SEC Introduces New Reporting Requirements for Smaller Companies,” SRZ Client Alert, Feb. 28, 2008
“SEC Provides Guidance on MD&A Disclosure for Off-Balance Sheet Entities,” SRZ Client Alert, Jan. 22, 2008
“SEC Expands Eligibility for Primary Offerings on Forms S-3 and F-3,” SRZ Client Alert, Jan. 17, 2008
“Are You Ready for Electronic Proxy Delivery?,” SRZ Client Alert, Dec. 13, 2007
“SEC Issues Additional Guidance Under 2006 Executive Compensation Disclosure Rules,” SRZ Client Alert, Nov. 12, 2007
“New Fairness Opinion Rule Approved By the SEC,” SRZ Client Alert, Nov. 8, 2008
Author and co-author of numerous articles pertaining to U.S. and cross-border legal matters, including articles pertaining to the U.S. securities laws, mergers and acquisitions, venture capital and general corporate matters.
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Selected Speaking Engagements
“2008 Securities Law Update,” SRZ Think Big! Small- and Mid-Cap Public Company Forum, New York
Panelist, “Permanent Capital Investment Vehicles,” SRZ Cutting Edge Alternative Asset Management Deals Seminar, New York
“The Registration Process,” Going Public, New York
“Getting Started: The SEC and the Review Process,” Securities Regulation and Enforcement, New York
“Registration Statements,” SEC Accounting and Financial Reporting Course, New York
“Introduction to the Deal: What's Involved in a Securities Offering?,” New York City Bar Association, New York
“Disclosure of Material Developments to the Market,” New York City Bar Association, New York
“Complying with Regulation FD,” New York
“Sarbanes-Oxley: An Overview,” New York City Bar Association, New York
“Records Retention and the Public Company,” Document Retention and Destruction Conference, Lorman Educational Services, New York
“Developments in Online Investor Relations,” The Internet and Securities Laws Current Issues and Trends Conference, New York
“The Forms and Regulations of the Integrated Disclosure System,” SEC Reporting Essentials for Canadian Companies Conference, Toronto, Canada
“Global Securities Offerings by Mexican Issuers,” Mexico City and Monterrey, Mexico
“Enabling Efficiency in Finance,” Wharton Finance Conference, Philadelphia
“General Overview of SPE's,” Update on Special Purpose Entities: Complying With New Disclosure Requirements, Boston
“Sexy Legal Issues for the Corporate Finance Professional,” New York
“Legal Due Diligence and Contractual Provisions to Mitigate Risk in Domestic and International Transactions,” Complete Due Diligence–Surviving in the Global Environment of Acquisitions, Strategic Partnerships and Key Supplier Alliances Conference, New York
“Reducing Country Risk Through Precise Legal Guidance,” Political Risk Management for the Power, Oil and Gas Industries Conference, New York
“Exits Through Strategic Sales vs. Exits Through Public Markets,” Latin America Private Equity Summit, Miami
“Cross-Border Mergers and Acquisitions,” United States/Africa Judicial and Legal Exchange Program, Washington, D.C.
“Exploring International Opportunities in the LBO Market,” Leveraged Buy-Outs Seminar, New York
“Structuring, Negotiating and Papering Strategic Relationships,” New York
“How Technologies Become Businesses,” Naval Research and Development Conference, Washington, D.C.
“Starting Your Own Company - Critical Issues That Every Internet and New Media Start-up Should Consider,” New York
“Starting a Financial Services Company,” The Harvard Business School Club of New York, New York
“Rebuilding from Dot Bombs – Success for Startups,” New York
“Venture Capital Profile Series,” Deloitte & Touche, New York
“Standing Out in a Crowd: Raising Capital in Tough Times,” New York
“Attracting and Retaining Top Talent,” New York
“The ABC's of Finding, Compensating and Keeping Talent,” New York
“Critical Success Factors for CEOs: Strategies for Building Your Top Line,” New York
“Attracting Foreign Investment Capital,” Southern African Development Community Consultative Conference on Trade and Investment, Johannesburg, South Africa
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Other Distinctions
Law 360 Corporate Finance Advisory Board
Complinet Editorial Advisory Board
Chair, Manhattan Chamber of Commerce (Past)
Annual Fund Chair, Tulane Law School (Past)
"Who's Who in Securities Law," Investment Dealers' Digest
New York Super Lawyers 2009 - Securities
Bar Admissions
Education
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Tulane University School of Law, J.D., magna cum laude, 1990
- Associate Editor, Tulane Law Review
- Order of the Coif
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Indiana University, B.S., 1987
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