Margaret K. Rhoda

Margaret Rhoda advises publicly held and private companies in federal securities compliance and corporate governance matters.

Her experience includes counseling public companies with respect to regulatory requirements, including the Securities Act of 1933, the Securities Exchange Act of 1934, and NYSE and Nasdaq rules, as well as corporate governance best practices. Margaret distills detailed legal research on sensitive issues into practical advice for her public and private company clients. In addition, she drafts disclosure documents for public companies and transactional documents for capital raising, including registration statements and private placement memoranda.

Margaret also regularly advises start-up and microcap companies regarding compliance with federal and state securities laws in connection with private offerings.

Before joining Harter Secrest & Emery, Margaret practiced as a corporate associate in the real estate capital markets group at Proskauer Rose LLP in Chicago, IL, with a particular focus on Real Estate Investment Trusts (REITs) and mergers and acquisitions.

HONORS & AWARDS

• Selected by peers for inclusion in Best Lawyers: Ones to Watch® in America for Financial Services Regulation Law; Securities/Capital Markets Law; Securities Regulation, 2023-2024
• Selected to the Upstate New York Super Lawyers Rising Stars list, 2021-2022
• Proskauer’s Golden Gavel Award for Pro Bono Service
• DePaul University College of Law
  • Associate Editor, DePaul Law Review, Volume 64
  • Order of the Coif

REPRESENTATIVE EXPERIENCE

• Initial public offering on Nasdaq of foreign contract garment manufacturer
• Managed proxy solicitation and annual meeting process for newly public company
• Modernized proxy statement disclosure for Nasdaq-listed company to better reflect its market position and growing business
• Issuer counsel for at-the-market offering of up to $40 million of common stock
• Placement agent counsel in registered direct offerings of $5 million and $4.3 million for growing alternative energy company
• Underwriter counsel in registered direct offering of $4.8 million and confidentially marketed public offering of $2.8 million for biotechnology security company
• Issuer and underwriter counsel in private placement offerings in a variety of industries, including biotechnology, food service, fintech, manufacturing, and software

NEWS

• September 28, 2023 | Press Releases
  Harter Secrest & Emery Advises Transcat, Inc. in $80.5 Million Public Offering
• June 26, 2023 | LEGALcurrents®
  New Federal Exemption for M&A Brokers: New Rules, Familiar Headaches for Practitioners
• June 14, 2023 | LEGALcurrents®
  Clawback Policy Update: SEC Approves Final NYSE and Nasdaq Clawback Listing Standards with Extended Deadline
• May 4, 2023 | LEGALcurrents®
  SEC Adopts New Share Repurchase Disclosure Rules
• April 27, 2023 | LEGALcurrents®
  Clawback Policy Update: Listed Companies May Need Policy Before the End of Summer
• February 28, 2023 | LEGALcurrents®
  Clawback Policies are Coming: Exchanges Propose Listing Standards
• January 18, 2023 | Press Releases
  Harter Secrest & Emery Promotes Five to Senior Associate, Harter Secrest & Emery LLP
• January 9, 2023 | LEGALcurrents®
  Preparing for the 2023 Proxy and Annual Reporting Season, Harter Secrest & Emery LLP
• January 9, 2023 | LEGALcurrents®
  Changes to the General Corporation Law of the State of Delaware, Harter Secrest & Emery LLP
• October 27, 2022 | LEGALcurrents®
  SEC Adopts Executive Compensation Clawback Rules, Harter Secrest & Emery LLP
• October 21, 2022 | Publications
  "Looking to Raise Capital? Avoid These Mistakes", Buffalo Business First
• April 17, 2020 | In The News
  "Real estate investment market may look different post-COVID-19", Rochester Business Journal
• September 7, 2016 | In The News
  "Two U.S. REITs Merging in $1.4B Deal", Law360