Writings by Dan Brecher

The Securities and Exchange Commission (SEC) recently adopted new regulations designed to provide small businesses with greater access to capital. The new rules, dubbed “Regulation A+,” expand Regulation A, which currently exempts from registration securities offerings of up to $5 million in a 12-month period. The JOBS Act mandated that the SEC update and expand […]

For corporate whistleblowers, the Securities and Exchange Commission (SEC) may no longer be the only game in town. New York Attorney General Eric T. Schneiderman recently announced plans to introduce the Financial Frauds Whistleblower Act, a whistleblower program that will provide monetary incentives for  who report financial misconduct. “New York has a unique opportunity to set […]

For international companies, it may be time to start registering your intellectual property in Cuba. While the country is not yet officially open for business to American businesses, you can protect your trademark rights now. As we previously discussed on the Scarinci Hollenbeck Business Law News Blog, President Barak Obama recently unveiled a plan to […]

New Jersey businesses should be aware that sending unsolicited faxes could open you up to significant liability. We have recently learned that several law firms in this area are filing class action lawsuits and preying on local companies, and even non-profit organizations, alleging violations of New Jersey law. On the federal and state level, several […]

A new study on merger and acquisition (M&A) litigation in 2014 reveals several significant trends. Most notably, the majority of all lawsuits were filed in one jurisdiction, suggesting that companies are increasingly incorporating forum-selection clauses into their corporate bylaws as well as into their transaction documents, when it comes to a merger and acquisition. As […]

The Financial Industry Regulatory Authority (“FINRA”) recently published its 2015 Regulatory and Examinations Priorities Letter. The priorities for this year are divided into the following three categories: key sales practices, financial and operational matters, and market integrity. Below are several key takeaways regardin FINRA Exam Priorities: In addition to detailing its 2015 surveillance and examination […]

If you use your debit card at a store or gas station where you don’t know the workers, there is added danger that your bank information could be swiped and the stolen information used by a thief to access your bank account using ATM machines to make unauthorized cash withdrawals from your bank account.  Banks investigate […]

The Securities and Exchange Commission (SEC) recently proposed new rules that require enhanced corporate disclosure of hedging policies for officers, directors, and employees. Mandated under Section 955 of the Dodd-Frank Act, the proposed rules would specifically require disclosure about whether directors, officers and other employees are permitted to hedging or offset any decrease in the […]

In the age of technology, financial traders are quickly going the way of the dinosaur. Most recently, CME Group Inc., which owns the Chicago Mercantile Exchange and New York Mercantile Exchange, announced that it plans to close most of its trading pits by July 2015. The floor-based S&P 500 futures market, as well as some […]

While New Jersey employers should probably keep the champagne on ice, the Equal Employment Opportunity Commission’s (EEOC) latest enforcement report is good news. The agency reports that both employment claims and penalties dropped significantly in fiscal year 2014, which ran from Oct. 1, 2013, to Sept. 30, 2014. In total, the EEOC filed 133 lawsuits […]

While break-ups are bad news in the romance department, shareholders generally see them as a win. Corporate spinoffs not only generate an uptick in stock price, but can also make both companies more profitable. There are approximately 50 spinoffs each year in the United States. Expedia made headlines several years ago with its spinoff of […]

In the annals of securities law, the maxim repeated more than any Geico commercial is: disclosure, disclosure, disclosure. Just as location is a dominant force in real estate investing, full disclosure of material information that a reasonable investor would be entitled to know before making an investment decision is the bedrock of our federal securities […]