Emily M. Little
Emily is an associate in the firm’s Corporate Transactions & Securities practice group. She focuses her practice on the financial services industry with a concentration on the regulatory and compliance matters related to the organization, registration and operation of investment companies and advisers.
Prior to joining Thompson Hine, Emily spent seven years working as a paralegal specialist for Nationwide Mutual Insurance Company, where she provided support for matters related to the regulation and registration of fixed and variable life insurance and annuity products.
Following is an illustrative sampling of Emily’s experience:
- Draft and review SEC filings required by the Securities Act of 1933 and Investment Company Act of 1940 for registered investment companies including annual registration statement updates on Forms N-1 and N-1, and semi-annual and annual shareholder reports on Forms N-SAR and N-CSR.
- Assist advisers, portfolio managers and trust management in developing and structuring new funds. Manage filings and relationships with SEC staff reviewers to receive and respond to comments.
- Attend mutual fund boards of trustees’ quarterly meetings, take minutes of the proceedings, and provide advice and support to board.
- Draft and prepare combined proxy statement/registration statement on Form N-14 and Plan of Reorganization, and coordinate completion of mutual fund reorganization with fund administration, transfer agency, acquired fund counsel, auditors and the SEC.
- Draft proxy statements and information statements , and work with SEC to address staff comments and receive effectiveness orders.
- Assist publicly traded companies with the filing of Forms 8-k and 10-k.
- Assist clients with registration and development of compliance policies in connection with Dodd-Frank legislation and related NFA rulemaking.
- Assist hedge fund managers with the development and ongoing maintenance of 3(c)(1) and 3(c)(7) funds.
- Counsel corporate clients regarding periodic reporting obligations under the Investment Company Act of 1940, Investment Advisers Act and Securities Act of 1933 (including reviewing and revising SEC filings); compliance with the Sarbanes-Oxley Act, New York Stock Exchange and NASDAQ listing rules; and other general corporate matters.
- Draft and review numerous general corporate agreements, such as corporate formation documents, charters, bylaws, and board minutes and resolutions.
- “SEC Adopts Rule Requiring Liquidity Risk Management Programs for Funds,” Thompson Hine Investment Management Update, October 2016
- “2016 FINRA Exam Priorities,” Thompson Hine Investment Management Update, January 2016
- “Confidentiality Agreements Have “Chilling” Effect on Would-Be Whistleblowers,” Thompson Hine Investment Management Update, April 2015
- “SEC Issues Guidance on Affiliated Transactions by Series Investment Companies,” Thompson Hine Investment Management Update, July 2014
- "Bitcoin," The Investment Lawyer, May 2014
- Co-author, “Accepting Bitcoin: What You Need to Know,” Thompson Hine Cybercurrency Update, Spring 2014
- Co-author, "Why Not Accept Bitcoin for Goods and Services?" Corporate Counsel magazine, March 5, 2014
- “Bitcoin: A Primer,” Thompson Hine Cybercurrency Update, February 2014
- Co-author, "Crowdfunding," The Investment Lawyer, January 2014
- Co-author, "Repeal of the Ban on General Solicitation: A Boon to Capital Formation or Paralysis By Uncertainty," The Investment Lawyer, November 2012
- Co-author, "JOBS Act Update: SEC Proposal Permits General Solicitations by Private Funds," Investment Management Update, September 2012
- Contributor, "Thompson Hine's Davis Urges More Defined Rules Under SEC General Solicitation Proposal," Bloomberg BRIEF, September 2012
- Contributor, "Resolving Disputes Online Without a Trial," The Law and You, Ohio State Bar Association, 2012
- Co-author, "Redemption Fees and Intermediary Agreements," ALI-ABA Conference on Life Insurance Company Products, November 2006
- Selected for inclusion in Rising Stars by Ohio Super Lawyers magazine, 2017
- CALI Awards for Excellence in Professional Responsibility, Decedents’ Estates, General Practice and Taxation of Business Entities
- Capital University Law School Class of 2012 Ambassador Award
- Recognized for Outstanding Pro Bono Service by a Law Student: Columbus Bar Foundation (2009)
- Columbus Bar Association
- Ohio Bar Association
- Franklin County Municipal Court volunteer mediator