Writings by Dan Brecher

The Securities and Exchange Commission (SEC) will likely undergo a number of significant changes with Mary Jo White at the helm. She has promised to step up enforcement if confirmed as the agency’s new chairwoman. Changes could also be coming to how the SEC punishes securities violations. The agency is reportedly exploring the use of […]

Young, emerging growth companies looking to venture capital firms as an alternative to more traditional debt financing sources may experience stiffer competition. VC investments declined for the first time in three years, according to a recent MoneyTree Report by PricewaterhouseCoopers LLP and the National Venture Capital Association (NVCA). Overall, venture capitalists invested $26.5 billion in […]

The Financial Industry Regulatory Authority (FINRA) recently fined five units of ING Groep NV a total of $1.2 million for failing to retain or review millions of emails. The Financial Industry Regulatory Authority (FINRA) recently fined five units of ING Groep NV a total of $1.2 million for failing to retain or review millions of […]

The Securities and Exchange Commission (SEC) is increasingly turning to technology to help root out fraud. The agency recently announced plans to launch a new computer software program that will detect accounting anomalies in corporate disclosures submitted to the regulator. The new data driven approach is expected to bolster the SEC’s risk assessment process when […]

The Securities and Exchange Commission (SEC) recently announced that cross-border security-based swaps rules would be a top priority for 2013. SEC Chairman Elisse Walter has characterized the swap rules as “the critical linchpin” of the Dodd-Frank Wall Street Reform and Consumer Protection Act due to the “global nature of the market.” “That is what is […]

If you subscribe to Netflix, you know that DVDs appear in your mailbox at seemingly warp speed. While consumers certainly appreciate the prompt delivery, at least one other mail-order business believes Netflix is receiving an unfair business advantage from the U.S. Postal Service. In 2011, GameFly Inc. filed a lawsuit against the Postal Regulatory Commission, […]

If Getco LLC can secure approval from Knight Capital Group shareholders, the newly formed entity would be a dominating force on the U.S. stock exchange. It would also be quite a reversal for Knight Capital, given that a $450 million trading error nearly bankrupted the company this summer. Shareholder approval is often one of the […]

Sellers usually value their New Jersey businesses higher than the Buyer can reasonably pay up front and unconditionally, because the Buyer has less familiarity with the minute details and unseen liabilities that show up only after the deal is done.  A confident and reliable Seller can be persuaded to accept payments over time, often tied in […]