Writings by Dan Brecher

Dan Brecher's experience ranges from general counsel of New York Stock Exchange and NASD/FINRA member brokerage firms to representation of companies in hundreds of public and private securities offerings and advising institutional and high net worth investors.

Client Alert

Library

Scarinci Hollenbeck remains committed not only to providing top-tier legal services but also to regularly providing information and resources to our client base and internet following. Client Alerts provided by our attorneys supply businesses, municipalities, and more with the latest and relevant legal updates that may impact them and how they might be able to proceed.

169-180 of 307

What Can Businesses Learn from Deflategate?

What Can Businesses Learn from Deflategate? According to media reports, settlement talks between the National Football League and New England Patriots quarterback Tom Brady have stalled. With the start of the football season just weeks away, neither side appears willing to budge. Brady is reportedly unwilling to acknowledge that there is any veracity to the […]

Author: Dan Brecher

August 24, 2015

Top Ten Things You Need to Know About the Advisers Act

The Investment Advisers Act of 1940 (Advisers Act) regulates the actions of investment advisers and requires most advisers to register with the Securities and Exchange Commission (SEC). Accordingly, the Advisers Act and the interpretive SEC’s rules form the essential “rule book” for the industry. What you need to know Since compliance with the Advisers Act […]

Author: Dan Brecher

August 21, 2015

Scarinci Hollenbeck

UK’s New Human Trafficking Rules May Impact U.S. Businesses

The United Kingdom’s Modern Slavery Act recently took effect. For U.S. businesses operating across the pond, it is important to understand how the statute’s human trafficking supply chain disclosure rules may impact your compliance initiatives. Under the Modern Slavery Act, a “commercial organization” must prepare a slavery and human trafficking statement for each financial year. […]

Author: Dan Brecher

August 20, 2015

Scarinci Hollenbeck

NY Court: No Statute of Limitations for a Forged Deed

New York’s Highest Court Recently Held that the Six-Year Statute of Limitations Governing Fraud Claims does not Apply to a Forged Deed New York’s highest court recently held that the six-year statute of limitations governing fraud claims does not apply to forged deeds. The New York Court of Appeals’ decision in Faison v. Lewis held […]

Author: Dan Brecher

August 17, 2015

Chamber of Commerce Calls for SEC Enforcement Reforms

In a recently published report, the U.S. Chamber of Commerce called for several significant changes to the Securities and Exchange Commission’s or SEC enforcement policies and procedures. “The recommendations in this report are designed to further strengthen the SEC enforcement program’s ability to detect and deter fraud while also ensuring honest market participants benefit from […]

Author: Dan Brecher

August 10, 2015

SEC Finalizes CEO Pay Ratio Disclosure Rules

The Democrat appointees to the Securities and Exchange Commission (SEC), by a 3-2 majority vote, recently finalized the SEC’s controversial pay ratio rule. Mandated under the Dodd-Frank Act, the new disclosures will require companies to reveal how their chief executive officers’ compensation compares to their workforce at large. The SEC pay ratio rule attracted more […]

Author: Dan Brecher

August 7, 2015

Scarinci Hollenbeck

Crowdfunding Crash Course for Small Business Owners

Crowdfunding Crash Course for Small Business Owners Many small business owners and entrepreneurs are still finding that it is difficult to secure funding for their businesses or ventures. Yet, very few ever explore crowdfunding. According to a recent survey, many business owners simply don’t know enough about securing capital from the “crowd.” Manta, which provides […]

Author: Dan Brecher

July 27, 2015

Danger in the Water: Regulators Turning Attention to Dark Pools

Securities regulators are increasingly turning their attention to dark pools, which are far less regulated than traditional exchanges. The European Union’s (EU) new rules will take effect in 2017, and the Securities and Exchange Commission (SEC) proposed its own rules earlier this year. Dark pools are private, alternative trading systems (ATS) in which participants can […]

Author: Dan Brecher

July 17, 2015

The Perils of Text Message Contract Negotiations

With the explosion of smart phones, contract negotiation is no longer confined to business letters, telephone conversations, or even emails. However, are text message contract negotiations the way to go? For busy business professionals, text message contract negotiations between partners is becoming increasingly common. Unfortunately, it is not the most legally sound way to negotiate a […]

Author: Dan Brecher

July 15, 2015

Proposed SEC Clawback Rules to Cut Out Erroneous Compensation

Earlier this month, the Securities and Exchange Commission (SEC) proposed new rules that would require companies to adopt policies that require executive officers to pay back incentive-based compensation that they were awarded erroneously. These SEC clawback rules for executive compensation, which are required under Section 954 of the Dodd Frank Act, are intended to improve the quality […]

Author: Dan Brecher

July 14, 2015

Scarinci Hollenbeck

SEC is Offering Guidance Regarding Regulation A+

The Securities and Exchange Commission, also known as the SEC is offering guidance regarding Regulation A+, which took effect on June 29, 2015. The speed with which the agency’s Division of Corporation Finance published responses to several frequently asked questions suggests that the new securities exemption may be living up to the buzz. Regulation A+ […]

Author: Dan Brecher

July 13, 2015

Start-Up Financing: Due Diligence Is a Two-Way Street

When launching a new venture, it can be tempting to accept start-up financing from anyone who offers it. However, entrepreneurs should always take the time to get to know their potential investors when it comes to start-up financing. After all, you will likely be married to them for several years. So while investors are checking […]

Author: Dan Brecher

July 10, 2015

First
Previous
1
More
13
14
15(current)
16
17
More
26
Next
Last

Sign up to get the latest from our attorneys!

Explore What Matters Most to You.

Consider subscribing to our Firm Insights mailing list by clicking the button below so you can keep up to date with the firm`s latest articles covering various legal topics.

Stay informed and inspired with the latest updates, insights, and events from Scarinci Hollenbeck. Our resource library provides valuable content across a range of categories to keep you connected and ahead of the curve.