James G. Smith

Partner

P 212.216.8060   F 212.216.8001
1350 Broadway
New York, NY 10018

 
P 212.216.8060   F 212.216.8001   jsmith@tarterkrinsky.com

James G. Smith is a Partner at Tarter Krinsky & Drogin LLP. He focuses on complex securities and corporate transactions, investment management and corporate law.

Jim's broad range of corporate and securities experience includes representing issuers, underwriters and investors in public and private offerings, PIPES, structured and asset-based financings, SEC reporting and compliance and corporate governance matters. His investment management experience includes formation and representation of hedge funds, private equity funds and venture capital funds. His corporate practice includes mergers and acquisitions and formation of partnerships and joint ventures.

He has been published in professional journals such as the Columbia Business Law Review, Warren Gorham & Lamont, and the Business Law Journal of the University of Miami.

Education
  • California State University at Hayward, B.S. 1988, M.B.A. 1991
  • California State University at Hayward, M.B.A. 1991
  • Golden Gate University School of Law, J.D. 1992
Admissions
  • New York
  • California
Memberships
  • American Bar Association, Business Law Section
  • California State Bar Association, Business Law Section
Articles

Jim's recent articles include:

  • The TKD Securities Ticker: 'Non-Accelerated Filers' Excused From Attestation Report
  • A New Withholding Tax Created
  • U.S. Supreme Court Limits Extraterritorial Application of Federal Securities Laws
  • The TKD Advisor: New Rule for Investment Bankers: The Series 79 Banking Exam
  • SEC Amends Custody Rule for Investment Advisers
  • The TKD Advisor: Going Out on Your Own: Portability of Performance
  • SEC Rejects FINRA's 'Should Have Known' Theory in 'Selling Away' Case
  • SEC Changes Rule 144, Shortens Holding Period
  • The TKD Securities Advisor - February 2008
  • The TKD Advisor: SEC Grants Blue Sky Exemption for NASDAQ Capital Market Companies
  • The TKD Advisor: Regulatory Risks Become Opportunities for PIPES Investors
  • SEC Adopts New Executive Compensation Disclosure Rules
  • Court Rejects SEC Rule Requiring Investment Advisor Registration For Hedge Fund Managers
  • SEC Extends Compliance Date For Internal Control Over Financial Reporting
  • SEC Adopts New Rules on Public Shells
  • Recent SEC Enforcement Action Highlights Short Sales
  • Conversion Caps - A Primer
  • Update the "Boiler Plate" Provisions in Your Investment Agreement
  • SEC Expands Investment Advisor Registration For Hedge Fund Managers
  • SEC Adds Additional Form 8-K Disclosure Requirements
  • SEC Adopts New Disclosure Rules Regarding Nominating Committee Functions
  • SEC Adopts Changes to Rule 10b-18
  • Audit Committees and Auditor Engagement
  • Ethics Under Sarbanes-Oxley

What's on my iPod:
Pearl Jam - Unknown Thought

Favorite sports team:
Commack Colt's - my son's team

Quote i live by:
I have competed well; I have finished the race; I have kept the faith (2 Tim. 4:7)

  • apple seeds LLC

    apple seeds LLC is a growing organization that provides indoor playground facilities, classes, birthday parties and other activities. As an emerging and growing business, apple seeds needed a business-minded legal partner who understood the challenges of being a middle market business. They needed help building the company from the ground floor up, and providing a solid foundation for future growth.  

News

Events

  • SEC Risk Alert Highlights Most Frequent Investment Adviser Advertising Rule Violations

    The SEC's Office of Compliance Inspections and Examinations (OCIE) issued a risk alert summarizing the compliance issues most frequently identified in SEC-registered investment advisers' deficiency letters with respect to Rule 206(4)-1 (the Advertising Rule) under the Investment Advisers Act of 1940. These issues include OCIE's examination initiative focusing on advisers' use of touting awards, promoting ranking lists, and/or identifying professional designations in marketing materials.

  • SEC Provides Guidance on Use of SPVs and Custody Rule

    In June 2014, the SEC’s Division of Investment Management released an IM Guidance Update (No. 2014-07) helping investment advisers who use special purpose vehicles, or SPVs, comply with the SEC’s Custody Rule.

Education
  • California State University at Hayward, B.S. 1988, M.B.A. 1991
  • California State University at Hayward, M.B.A. 1991
  • Golden Gate University School of Law, J.D. 1992
Admissions
  • New York
  • California
Memberships
  • American Bar Association, Business Law Section
  • California State Bar Association, Business Law Section
Articles

Jim's recent articles include:

  • The TKD Securities Ticker: 'Non-Accelerated Filers' Excused From Attestation Report
  • A New Withholding Tax Created
  • U.S. Supreme Court Limits Extraterritorial Application of Federal Securities Laws
  • The TKD Advisor: New Rule for Investment Bankers: The Series 79 Banking Exam
  • SEC Amends Custody Rule for Investment Advisers
  • The TKD Advisor: Going Out on Your Own: Portability of Performance
  • SEC Rejects FINRA's 'Should Have Known' Theory in 'Selling Away' Case
  • SEC Changes Rule 144, Shortens Holding Period
  • The TKD Securities Advisor - February 2008
  • The TKD Advisor: SEC Grants Blue Sky Exemption for NASDAQ Capital Market Companies
  • The TKD Advisor: Regulatory Risks Become Opportunities for PIPES Investors
  • SEC Adopts New Executive Compensation Disclosure Rules
  • Court Rejects SEC Rule Requiring Investment Advisor Registration For Hedge Fund Managers
  • SEC Extends Compliance Date For Internal Control Over Financial Reporting
  • SEC Adopts New Rules on Public Shells
  • Recent SEC Enforcement Action Highlights Short Sales
  • Conversion Caps - A Primer
  • Update the "Boiler Plate" Provisions in Your Investment Agreement
  • SEC Expands Investment Advisor Registration For Hedge Fund Managers
  • SEC Adds Additional Form 8-K Disclosure Requirements
  • SEC Adopts New Disclosure Rules Regarding Nominating Committee Functions
  • SEC Adopts Changes to Rule 10b-18
  • Audit Committees and Auditor Engagement
  • Ethics Under Sarbanes-Oxley