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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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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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Year in Review: Securities Law Trends in 2021 post image

Year in Review: Securities Law Trends in 2021

In the past year, we discussed a number of ways that startups and other small businesses can raise the capital needed to help them grow while maintaining compliance with federal securities regulations... In 2021, we discussed a number of ways that startups and other small businesses can raise the capital needed to help them grow while maintaining […]

Author: Scarinci Hollenbeck, LLC

Link to post with title - "Year in Review: Securities Law Trends in 2021"
Does SEC’s Stunning Trial Loss Make It Harder for Agency to Bring insider Trading Cases? post image

Does SEC’s Stunning Trial Loss Make It Harder for Agency to Bring insider Trading Cases?

The SEC experienced a rare trial loss in an insider-trading case, with the court finding that the agency’s statistical evidence was too speculative... The Securities and Exchange Commission (SEC) experienced a rare trial loss in an insider-trading case, with the court finding that the agency’s statistical evidence was too speculative. At this point, it is […]

Author: Dan Brecher

Link to post with title - "Does SEC’s Stunning Trial Loss Make It Harder for Agency to Bring insider Trading Cases?"
Successor Liability – Could You Be Held Liable After Buying a Business? post image

Successor Liability – Could You Be Held Liable After Buying a Business?

Under New York law, the general rule is that a corporation that acquires the assets of another is not liable for the claims of its predecessor... Under New York law, the general rule is that a corporation that acquires the assets of another is not liable for the claims of its predecessor. However, there are […]

Author: Dan Brecher

Link to post with title - "Successor Liability – Could You Be Held Liable After Buying a Business?"
Failure to Document “Sweat Equity” Agreements Can Lead to Costly Suits post image

Failure to Document “Sweat Equity” Agreements Can Lead to Costly Suits

For startup companies and other cash-strapped businesses, so-called “sweat equity” can be extremely beneficial... For startup companies and other cash-strapped businesses, so-called “sweat equity” can be extremely beneficial. While many startups are unable to reward founders and employees for their hard work with monetary compensation, they can award an equity interest in the company. What […]

Author: Dan Brecher

Link to post with title - "Failure to Document “Sweat Equity” Agreements Can Lead to Costly Suits"
What to Know About the SEC’s “Shadow Trading” Enforcement Action post image

What to Know About the SEC’s “Shadow Trading” Enforcement Action

The Securities and Exchange Commission (SEC) recently brought an enforcement action against a biopharmaceutical executive for a form of insider trading known as “shadow trading.” The Securities and Exchange Commission (SEC) recently brought an enforcement action against a biopharmaceutical executive for a form of insider trading known as “shadow trading.” The term refers to when […]

Author: Dan Brecher

Link to post with title - "What to Know About the SEC’s “Shadow Trading” Enforcement Action"
Can Businesses Use a Letter of Intent as a Binding Agreement to Work Together? post image

Can Businesses Use a Letter of Intent as a Binding Agreement to Work Together?

A letter of intent or memorandum of understanding can be used to formalize an agreement to move forward toward a mutual goal... When businesses agree to work together, there are often a lot of details to work out. A letter of intent or memorandum of understanding can be used to formalize an agreement to move […]

Author: Dan Brecher

Link to post with title - "Can Businesses Use a Letter of Intent as a Binding Agreement to Work Together?"
SEC Approves NASDAQ Board Diversity Rule – What Listed Companies Must Do Next post image

SEC Approves NASDAQ Board Diversity Rule – What Listed Companies Must Do Next

The SEC recently approved Nasdaq Inc.’s Board Diversity Rule, which will require all companies listed on Nasdaq’s U.S. exchange to publicly disclose consistent, transparent diversity statistics regarding their board of directors... The Securities and Exchange Commission (SEC) recently approved Nasdaq Inc.’s Board Diversity Rule, which will require all companies listed on Nasdaq’s U.S. exchange to publicly disclose consistent, transparent […]

Author: Scarinci Hollenbeck, LLC

Link to post with title - "SEC Approves NASDAQ Board Diversity Rule – What Listed Companies Must Do Next"
Will the SEC Issue New Disclosure Rules for de-SPAC Transactions? post image

Will the SEC Issue New Disclosure Rules for de-SPAC Transactions?

The SEC is keeping a close eye on special purpose acquisition companies (SPACs)... The Securities and Exchange Commission (SEC) is keeping a close eye on special purpose acquisition companies (SPACs). When it looks to determine whether additional regulations are needed, one area of concern will likely be disclosures made in connection with de-SPAC transactions. Hot […]

Author: Dan Brecher

Link to post with title - "Will the SEC Issue New Disclosure Rules for de-SPAC Transactions?"
Will the SEC Move to Restrict Private Offerings Under New Leadership? post image

Will the SEC Move to Restrict Private Offerings Under New Leadership?

The SEC rulemaking agenda includes rule proposals that could significantly impact the private offering market… The Securities and Exchange Commission’s (SEC) rulemaking agenda includes rule proposals that could significantly impact the private offering market. Priorities for the new Democratic-majority Commission include exempt offering rules, the accredited investor definition, and required disclosures under Regulation D. As […]

Author: Dan Brecher

Link to post with title - "Will the SEC Move to Restrict Private Offerings Under New Leadership?"
Will the New Regulatory Agenda of the SEC Affect You? post image

Will the New Regulatory Agenda of the SEC Affect You?

The SEC recently announced its regulatory agenda, which reflects short-term and long-term actions to be taken by the agency... The Securities and Exchange Commission (SEC) recently announced its regulatory agenda, which reflects short-term and long-term actions to be taken by the agency. The SEC’s rulemaking agenda includes hot-button issues like SPACs and climate risk disclosures. […]

Author: Dan Brecher

Link to post with title - "Will the New Regulatory Agenda of the SEC Affect You?"
What Will Capital Raising Look Like for Small Businesses Post-Pandemic? post image

What Will Capital Raising Look Like for Small Businesses Post-Pandemic?

While capital formation has always been challenging for small businesses, the COVID-19 pandemic has made it even more difficult to secure funding... While capital formation has always been challenging for small businesses, the COVID-19 pandemic has made it even more difficult to secure funding. As the economy recovers, funding opportunities are expected to increase, although […]

Author: Dan Brecher

Link to post with title - "What Will Capital Raising Look Like for Small Businesses Post-Pandemic?"
Is Your New York Nonprofit Ready for the State’s New Disclosure Reporting Requirements? post image

Is Your New York Nonprofit Ready for the State’s New Disclosure Reporting Requirements?

Certain New York nonprofits must file an annual financial report, a funding disclosure report, and/or a financial disclosure report... In the height of the COVID-19 pandemic, the State of New York quietly amended Sections 172-B, 172-E, and 172-F of the state’s Executive Law to establish heightened reporting requirements for charitable tax-exempt organizations. Effective January 1, […]

Author: Dan Brecher

Link to post with title - "Is Your New York Nonprofit Ready for the State’s New Disclosure Reporting Requirements?"

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