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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Danger in the Water: Regulators Turning Attention to Dark Pools

Securities regulators are increasingly turning their attention to dark pools, which are far less regulated than traditional exchanges. The European Union’s (EU) new rules will take effect in 2017, and the Securities and Exchange Commission (SEC) proposed its own rules earlier this year. Dark pools are private, alternative trading systems (ATS) in which participants can […]

Author: Dan Brecher

July 17, 2015

The Perils of Text Message Contract Negotiations

With the explosion of smart phones, contract negotiation is no longer confined to business letters, telephone conversations, or even emails. However, are text message contract negotiations the way to go? For busy business professionals, text message contract negotiations between partners is becoming increasingly common. Unfortunately, it is not the most legally sound way to negotiate a […]

Author: Dan Brecher

July 15, 2015

Proposed SEC Clawback Rules to Cut Out Erroneous Compensation

Earlier this month, the Securities and Exchange Commission (SEC) proposed new rules that would require companies to adopt policies that require executive officers to pay back incentive-based compensation that they were awarded erroneously. These SEC clawback rules for executive compensation, which are required under Section 954 of the Dodd Frank Act, are intended to improve the quality […]

Author: Dan Brecher

July 14, 2015

Scarinci Hollenbeck

SEC is Offering Guidance Regarding Regulation A+

The Securities and Exchange Commission, also known as the SEC is offering guidance regarding Regulation A+, which took effect on June 29, 2015. The speed with which the agency’s Division of Corporation Finance published responses to several frequently asked questions suggests that the new securities exemption may be living up to the buzz. Regulation A+ […]

Author: Dan Brecher

July 13, 2015

Start-Up Financing: Due Diligence Is a Two-Way Street

When launching a new venture, it can be tempting to accept start-up financing from anyone who offers it. However, entrepreneurs should always take the time to get to know their potential investors when it comes to start-up financing. After all, you will likely be married to them for several years. So while investors are checking […]

Author: Dan Brecher

July 10, 2015

SEC Cracking Down on Adviser’s Retirement Advice

The Securities and Exchange Commission (SEC) recently announced a new compliance initiative that will target the retirement advice doled out by brokers and other financial advisers. Dubbed the “Retirement-Targeted Industry Reviews and Examinations Initiative,” the SEC’s targeted examinations of registered investment advisers and broker-dealers will focus on “certain higher-risk areas of registrants’ sales, investment, and […]

Author: Dan Brecher

July 1, 2015

Scarinci Hollenbeck

Supreme Court Affordable Care Act Ruling Could Upend Employer Mandate

By the end of the month, the U.S. Supreme Court will announce its third Affordable Care Act ruling on the legality of the association. The Affordable Care Act ruling, which involves subsidies provided to individuals who purchase insurance via Healthcare.gov, has the potential to dramatically shake up the healthcare industry. The lawsuit, King v. Burwell, […]

Author: Dan Brecher

June 25, 2015

Equity Crowdfunding Goes Local With Adoption of State Regulations

Twenty-two states and the District of Columbia have now legalized some form of equity crowdfunding at the local level. Many more, including New Jersey, have proposed legislation that would allow entrepreneurs to solicit financing from “everyday” investors, otherwise known as the “crowd.” Equity crowdfunding was supposed to be a centerpiece of the Jumpstart Our Businesses […]

Author: Dan Brecher

June 19, 2015

SEC Proposes New Rules for Investment Advisers

Just as investment advisers are adjusting to their new Dodd-Frank compliance obligations, the Securities and Exchange Commission (SEC) has proposed new reporting and disclosure requirements. The rule proposal, which was unveiled on May 20, 2015, includes several amendments to Form ADV as well as new reporting requirements for statements of the investment advisers performance. According […]

Author: Dan Brecher

June 8, 2015

Overstock Seeks SEC Approval of Digital Securities

Overstock.com, Inc. may be the first company in the United States to offer digital securities. The online retailer recently filed a prospectus with the Securities and Exchange Commission (SEC) that details its plans to offer uncertificated securities that would be purchased and transferred using technology similar to that used for Bitcoin digital currency. In 2014, […]

Author: Dan Brecher

June 5, 2015

Selling Your Business? Tips for Surviving Due Diligence

First-time business owners are often surprised to learn that finding a potential buyer and negotiating the key terms of the sale are just the first steps in the process of selling a business. First-time business owners are often surprised to learn that finding a potential buyer and negotiating the key terms of the sale are […]

Author: Dan Brecher

June 2, 2015

Where Is Your Charitable Donation Really Going?

The Federal Trade Commission (FTC) and the attorney generals of all 50 states recently charged four well-known cancer charities with fraud. This article poses the question: where is your charitable donation really going? According to the complaint, the organizations bilked donors out of $187 million from 2008 through 2012. The FTC alleges that the contributions […]

Author: Dan Brecher

June 1, 2015

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