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.

157-168 of 307

Looking into the Future: Business Predictions for 2016

While we don’t purport to have a crystal ball, there are a number of trends that are expected to impact New York and New Jersey businesses in 2016. Here is a list of the business predictions: Business lending: Online lending is set to outpace more tradition financing methods. Eighty percent of small-business owners go online […]

Author: Dan Brecher

November 30, 2015

3 Start-ups With A Ground-Breaking Business Concept

To obtain funding, start-ups and other growing businesses need a unique business concept to stand out from the competition. In most cases, it’s even better when the business idea is so novel that there is no competition, at least not yet. To illustrate the point, below are a few companies that are revolutionizing their respective […]

Author: Dan Brecher

November 24, 2015

Ten Best Apps for Small Business Owners

Thanks to the proliferation of tablets, smart phones, and other electronic devices, small business owners are no longer chained to their desks. However, it can still be difficult for entrepreneurs and small business owners to manage a seemingly endless to-do list, particularly in the early stages of getting a start-up company off the ground. For […]

Author: Dan Brecher

November 19, 2015

SEC Stepping Up FCPA Enforcement

The SEC & FCPA Enforcement The Securities and Exchange Commission (SEC) continues to ramp up its enforcement of the Federal Corrupt Practices Act (FCPA). In 2010, the SEC’s Enforcement Division created a specialized unit dedicated to enforcement of the FCPA, which prohibits U.S. companies from bribing foreign officials for government contracts and other business. To […]

Author: Dan Brecher

October 30, 2015

SEC Proposes Changes to Administrative Proceedings

After coming under fire for using the forum to secure an unfair home court advantage After coming under fire for using the forum to secure an unfair home court advantage, the Securities and Exchange Commission (SEC) recently proposed amendments to its rules governing administrative proceedings. The proposal would extend certain deadlines, allow for depositions, and […]

Author: Dan Brecher

October 21, 2015

Public Companies Under Increasing Pressure to Reveal Political Spending

In the wake of the U.S. Supreme Court’s decision in Citizens United, corporate political spending has skyrocketed. In response, companies are facing increasing pressure from public interest groups, shareholders, and regulators to disclose their donations. Shareholders concerned about corporate campaign donations are turning to resolutions that ask the company to disclose information about lobbying activities […]

Author: Dan Brecher

October 16, 2015

Scarinci Hollenbeck

Are the SEC’s Crowdfunding Rules Really on the Horizon?

The Securities and Exchange Commission (SEC) is woefully late in finalizing its crowdfunding rules. However, the agency could finally be ready to sign off on the much-anticipated securities registration exception. The Dodd-Frank Act authorized everyday citizens (non-accredited investors) to participate in equity crowdfunding. The relaxed securities requirements for equity crowdfunding are expected to be a […]

Author: Dan Brecher

October 15, 2015

NYSE Adopts New Rules for Release of Material News

Amendments to the New York Stock Exchange’s (NYSE or Exchange) Rule 202.06 took effect last month. Listed companies must now follow new procedures when publicly releasing material news. Notification Requirement Rule 202.06 previously required listed companies to notify the NYSE at least ten minutes in advance of releasing material news if such release will take […]

Author: Dan Brecher

October 14, 2015

Circuits Split Over Dodd-Frank Retaliation Provisions

Questions regarding who is a whistleblower under the Dodd-Frank anti-retaliation provisions continue to divide the courts. In Berman v. Neo@Ogilvy, a divided Second Circuit Court of Appeals broadly interpreted the statute to allow claims from internal tipsters that do not also notify the Securities and Exchange Commission (SEC). The decision directly conflicts with the Fifth […]

Author: Dan Brecher

September 30, 2015

Scarinci Hollenbeck

Will Weakening Markets and Slumping Stocks be the End of the Tech IPO?

Recent public market volatility appears to be chilling the once hot pipeline of initial public offerings (IPOs). While the lower demand could yield “bargain” IPO prices for longer-term holders, it is all about valuation. Does a company really have great growth potential or will it fall flat? As we’ve previously discussed on this blog, 2014 was […]

Author: Dan Brecher

September 23, 2015

Do Supreme Court Decisions Influence the Securities Market?

Can U.S. Supreme Court decisions influence the Securities Market? The impact of U.S. Supreme Court decisions is often far-reaching. However, as highlighted in a recent study, 1 in 20 rulings suggest that Supreme Court decisions influence the securities market. The study’s findings were particularly apparent in the wake of the Supreme Court’s decision to uphold […]

Author: Dan Brecher

September 15, 2015

“Finders” Acting As a Securities Broker-Dealer Are on the SEC’s Hit List

The Securities and Exchange Commission has been moving more aggressively to state the types of activities that will result in a determination that a “finder” is acting as a securities broker-dealer. The SEC is also focusing on securities broker-dealer issues in its OCIE compliance exams of private investment funds, and has recently instituted a significant […]

Author: Dan Brecher

September 11, 2015

First
Previous
1
More
12
13
14(current)
15
16
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.