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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.
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Client Alert

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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.
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Corporate Disclosures: SEC Adopts Position That Less Is More post image

Corporate Disclosures: SEC Adopts Position That Less Is More

Is your company drowning under the burden of ever-growing corporate disclosure requirements? If the answer is yes, we have good news. In a recent report to Congress, the Securities and Exchange Commission (SEC) outlined a new initiative intended to streamline disclosure requirements for U.S. public companies under Regulation S-K. The report, which was mandated by […]

Author: Dan Brecher

Link to post with title - "Corporate Disclosures: SEC Adopts Position That Less Is More"
Financial Industry Regulatory Authority: What Are They Looking For In 2014 post image

Financial Industry Regulatory Authority: What Are They Looking For In 2014

What Will Financial Industry Regulatory Authority 2014 Examiners Be Looking for in 2014? The Financial Industry Regulatory Authority (FINRA) recently released a letter outlining its regulatory and examination priorities for 2014. It should be considered “must read” material for all broker dealers. Susan Axelrod, Executive Vice President, Regulatory Operations, said, “The purpose of this letter is […]

Author: Dan Brecher

Link to post with title - "Financial Industry Regulatory Authority: What Are They Looking For In 2014"
Taxi Costs: What To Expect When Traveling for Business or Pleasure post image

Taxi Costs: What To Expect When Traveling for Business or Pleasure

Taxi fares, particularly for traveling to and from the airport, are often governed by local laws. For instance, the New York City Taxi and Limousine Commission establishes set cab fares from NYC to Newark International Airport (regular metered rate of fare, plus a $17.50 surcharge and all tolls) and Manhattan to John F. Kennedy International […]

Author: Dan Brecher

Link to post with title - "Taxi Costs: What To Expect When Traveling for Business or Pleasure"
Is It Time to Sell Your New York or New Jersey Business? post image

Is It Time to Sell Your New York or New Jersey Business?

For business sellers who have been waiting until the economy turns around, it may finally be time to pull the trigger. With profits up and the economy improving, both banks and buyers are coming back to the market. According to BizBuySell.com, 1,685 small businesses changed hands between July and September, compared to 1,189 during the […]

Author: Dan Brecher

Link to post with title - "Is It Time to Sell Your New York or New Jersey Business?"
Why Your Notary Requires Proof of Your Identity post image

Why Your Notary Requires Proof of Your Identity

The law forbids notarizing papers in the absence of the person appearing before the notary.  The law forbids notarizing papers in the absence of the person appearing before the notary.  Have you ever asked a notary to notarize your signature without your being there in the presence of the notary and the notary refused to do […]

Author: Dan Brecher

Link to post with title - "Why Your Notary Requires Proof of Your Identity"
Compliance Concerns Force Drug Company to Shift Business Model post image

Compliance Concerns Force Drug Company to Shift Business Model

Conflicts of interest are a chief compliance concern in many industries, from financial services to information technology. In the pharmaceutical field, one company is taking dramatic steps to reduce its potential liability by significantly changing its business model. GlaxoSmithKline recently announced that it plans to address their compliance concerns and halt the commonly used practice […]

Author: Dan Brecher

Link to post with title - "Compliance Concerns Force Drug Company to Shift Business Model"
2013 Year in Review: Top Tips for Your New York or New Jersey Business post image

2013 Year in Review: Top Tips for Your New York or New Jersey Business

Here, we recap some of our most popular legal tips for a business in New York and New Jersey last year. You can also look for more posts geared towards reducing your legal when it comes to your business headaches in the New Year. Updating Your Sick Leave Policy: If you haven’t reviewed your sick leave policy […]

Author: Dan Brecher

Link to post with title - "2013 Year in Review: Top Tips for Your New York or New Jersey Business"
Want to Know Where the Pros Are Placing Your Money? Hedge Fund Filings Now Available for Review post image

Want to Know Where the Pros Are Placing Your Money? Hedge Fund Filings Now Available for Review

Hedge fund 13F filings are now available for review. These regulatory filings are noteworthy because they provide private investors a glimpse into where the professionals are placing their money. For example, Berkshire Hathaway recently released its 13F filing to the public, revealing what stocks legendary investor Warren Buffet and his team bought and sold during […]

Author: Dan Brecher

Link to post with title - "Want to Know Where the Pros Are Placing Your Money? Hedge Fund Filings Now Available for Review"
Lose One, Settle One: SEC Needs to Choose Its Fights Carefully post image

Lose One, Settle One: SEC Needs to Choose Its Fights Carefully

The Securities and Exchange Commission (SEC) is publicly trying to rebuild its reputation as a tough enforcer. However, as the results of two recent cases demonstrate, you can’t win them all. As we have previously discussed on this Business Law Blog, the SEC is moving away from its former policy of settling many cases on […]

Author: Dan Brecher

Link to post with title - "Lose One, Settle One: SEC Needs to Choose Its Fights Carefully"
SEC Chair Sheds Light on New Settlement Policy post image

SEC Chair Sheds Light on New Settlement Policy

In recent remarks before the Council of Institutional Investors, Securities and Exchange Commission (SEC) Chair Mary Jo White offered additional details about the agency’s new settlement policy. The speech, entitled “Deploying the Full Enforcement Arsenal,” also detailed the SEC’s priorities in creating a tougher enforcement program. To start, White highlighted the following as key enforcement […]

Author: Dan Brecher

Link to post with title - "SEC Chair Sheds Light on New Settlement Policy"
FDA Plan Goes Easy on Healthcare Apps post image

FDA Plan Goes Easy on Healthcare Apps

Mobile healthcare apps are big business. An estimated 500 million smartphone users worldwide will be using them by 2015. In response to the growing industry, the U.S. Food and Drug Administration (FDA) recently released its plan to regulate medical healthcare apps. The new rules will not impact tools that allow you to look up the […]

Author: Dan Brecher

Link to post with title - "FDA Plan Goes Easy on Healthcare Apps"
Disclosures to the SEC Can Carry Confidentiality Risks post image

Disclosures to the SEC Can Carry Confidentiality Risks

With the Securities and Exchange Commission’s (SEC) more aggressive enforcement approach, companies need to be aware that, when they turn documents over to the SEC after obtaining a signed confidentiality agreement, they are not getting the SEC’s agreement to refuse to provide to third parties these confidential documents. In fact, these agreements usually provide less […]

Author: Dan Brecher

Link to post with title - "Disclosures to the SEC Can Carry Confidentiality Risks"

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