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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NYSE Proposing to Let Firms Raise Capital Via Direct Listing

The New York Stock Exchange (NYSE) wants to allow companies in a direct listing to raise capital The New York Stock Exchange (NYSE) wants to allow companies in a direct listing to raise capital. However, it’s unclear if the Securities and Exchange Commission (SEC) will sign off on the proposal. Direct Listings vs IPO Direct […]

Author: Dan Brecher

January 30, 2020

New York

What Start-Ups Should Know About Attorney-Client Privilege

Start-ups often need legal advice when getting their business off the ground… Start-ups often need legal advice when getting their business off the ground. But could those discussions with your attorney come back to bite you in a lawsuit? In most cases, the attorney-client privilege ensures that anything you tell your attorney will be held […]

Author: Dan Brecher

January 24, 2020

Start-Up Business

What Do Companies Need to Understand About ESG Disclosures?

The U.S. Chamber of Commerce recently issued best practices for companies that seek to disclose information about their Environmental, Social and Governance (ESG)… The U.S. Chamber of Commerce recently issued best practices for companies that seek to disclose information about their Environmental, Social, and Governance (ESG). The guidelines are timely given that ESG has become […]

Author: Dan Brecher

December 27, 2019

SEC Poised to Overhaul Advertising Rules for Investment Advisors

The SEC is Proposing Major Changes to the Advertising Rules for Investment Advisors… The Securities and Exchange Commission (SEC) is proposing major changes to how investment advisers can advertise their services. The amendments to the Investment Advisers Act are intended to bring the rules into the modern age. “The advertising and solicitation rules provide important […]

Author: Dan Brecher

December 4, 2019

Is It Time to Jump In? SEC Allows All Companies to Test the Waters

The SEC Approved a New Rule that Extends a “Test the Waters” Accommodation to all Issuers In late September, the Securities and Exchange Commission (SEC) approved a new rule that extends a “test the waters” accommodation to all issuers. Under the new Securities Act Rule 163B, all issuers will be allowed to gauge market interest […]

Author: Dan Brecher

October 31, 2019

How NOT to Create a Contract Via Email

While Negotiating a Contract Via Email May Be Convenient, There Remains the Potential For Mistakenly Creating a Binding Contract A series of emails can be considered the “meeting of the minds” required to form a binding contract. So while negotiating via your smartphone may be convenient, it is imperative to make sure that your intentions […]

Author: Dan Brecher

August 20, 2019

Will Congress Expand Pool of Investors Eligible to Participate in Private Offerings?

A Key Senate Committee is Considering Legislation that Would Expand the Definition of “Accredited Investor”… A key Senate committee is considering legislation that would expand the definition of “accredited investor” and allow businesses to market private offerings to a wider pool of investors. The Fair Investment Opportunities for Professional Experts Act is part of a […]

Author: Dan Brecher

March 26, 2019

“Testing the Waters” - The SEC’s New Proposal

The SEC Recently Proposed a New Rule for Testing the Waters Prior to Conducting an IPO… The Securities and Exchange Commission (SEC) recently proposed a new rule that would allow all issuers to “test the waters’ prior to conducting an initial public offering (IPO). According to the SEC, the expanded test-the-waters provision would provide all […]

Author: Dan Brecher

March 14, 2019

Judge Reverses Course Ruling Blockvest ICO - It Is a Security

A California Federal Judge Recently Ruled that Blockvest ICO Qualifies as a Security A California federal judge had a change of heart regarding whether Blockvest’s initial coin offering (ICO) qualifies as a security. U.S. District Judge Gonzalo Curiel of the Southern District of California had previously rejected the Securities and Exchange Commission’s (SEC) request for an injunction. […]

Author: Dan Brecher

March 7, 2019

California

How the Partial Federal Government Shutdown Is Impacting NY and NJ Businesses

What Does the Partial Federal Government Shutdown Mean for New York and New Jersey Businesses? The partial federal government shutdown, which began on December 22, 2018, shows no signs of ending as members of Congress and President Donald Trump have failed to reach a budget agreement. Around the country, “closed” signs have been posted at […]

Author: Dan Brecher

January 10, 2019

Court Rules Vs SEC to Find ICO Not a Security

A Federal Court Recently Ruled that Digital Assets Sold In An Initial Coin Offering (ICO) did not Meet The Definition of “Security” A federal court recently ruled that digital assets sold in an initial coin offering (ICO) did not meet the definition of “security.” It is the first court decision against the Securities and Exchange […]

Author: Dan Brecher

January 4, 2019

Business Tax

DOJ Announces China Trade Secret Initiative

China has long been accused of stealing trade secrets from U.S. companies. To help deter Chinese economic espionage, the Department of Justice (DOJ) recently announced a China Initiative.

Author: Dan Brecher

December 20, 2018

Department of Justice

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