October 3, 2018
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Adriana Schwartz practices in the securities law and regulatory and compliance areas. She represents some of the largest private investment groups and investment banks in the U.S. and abroad in private investments in public and private companies, including private investments in public equity (PIPEs), registered direct offerings, convertible 144A offerings, reverse-mergers, equity lines, special purpose acquisition companies (SPACs) and Regulation S offerings. Adriana counsels clients in the regulatory areas of Sections 13 and 16, Rule 144, insider trading, short selling and Regulation M/Rule 105.
Adriana earned her J.D., cum laude, from Brooklyn Law School and her B.A., cum laude, from the University of Rochester.
“SEC Approves Changes to Nasdaq Stockholder Approval Requirement for Discounted Private Offerings,” SRZ Alert, Oct. 3, 2018 (co-author)
“INSIGHT: Consequences of a Board Seat,” Bloomberg Law, August 2018 (co-author)
“Section 13 and Section 16 Enforcement Actions — A Guide for Staying in Compliance,” Bloomberg BNA – Securities Regulation & Law Report, June 5, 2017 (co-author)
“Activism and Passivity: HSR Act and Section 13(d) Developments for Investors,” SRZ Client Alert, July 28, 2016 (co-author); republished in Westlaw Journal – Derivatives, Aug. 11, 2016, Westlaw Journal – Securities Litigation & Regulation, Aug. 18, 2016, and The Hedge Fund Journal, September 2016
“Private Investments in Public Equity (PIPEs),” Insider Trading Law and Compliance Answer Book (Practising Law Institute), 2011-2016 (contributor)
“SEC Releases a Second Installment of ‘Bad Actor’ Rule Guidance,” SRZ Alert, Jan. 22, 2014 (co-author)
“Understanding the Steps for Conducting a PIPE,” Law360 (excerpted from Lexis® Practice Advisor), Sept. 12, 2013 (co-author)
“How to Raise Capital Using a PIPE,” Law360 (excerpted from Lexis® Practice Advisor), Sept. 5, 2013 (co-author)
“SEC Issues Proposing Release to Readopt Beneficial Ownership Rules as They Relate to Security-Based Swaps,” SRZ Alert, March 25, 2011 (co-author)
“SEC Staff Clarifies Interpretation Related to Filing Deadline for Schedules 13D and 13G,” SRZ Alert, Nov. 19, 2009 (co-author)
“Analysis of New SEC Interpretations of Exchange Act Sections 13(d) and 13(g),” SRZ Alert, Oct. 8, 2009 (co-author)
“Swaps and Section 16: Reporting and Liability Issues,” SRZ Activist Investing Developments, Winter 2009 (co-author)