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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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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?"
Top Considerations for Private Firms Considering a SPAC post image

Top Considerations for Private Firms Considering a SPAC

Special purpose acquisition companies (SPACs) are one of the hottest ways to go public right now... Special purpose acquisition companies are one of the hottest ways to go public right now. To date, 300 SPACs have conducted IPOs raising nearly $100 billion in 2021, already surpassing last year’s totals.  Scarinci & Hollenbeck was ranked in […]

Author: Dan Brecher

Link to post with title - "Top Considerations for Private Firms Considering a SPAC"
What State Law Governs Disputes Over D&O Claims? post image

What State Law Governs Disputes Over D&O Claims?

The outcome of coverage disputes involving directors and officers (D&O) insurance can be greatly influenced by the state law applied in the case. The outcome of coverage disputes involving directors and officers (D&O) insurance can be greatly influenced by the state law applied in the case. Therefore, it is important to understand any choice of law provisions […]

Author: Dan Brecher

Link to post with title - "What State Law Governs Disputes Over D&O Claims?"
Investors Should Be Wary of “Opportunities” Found Via Social Media post image

Investors Should Be Wary of “Opportunities” Found Via Social Media

Investors should be wary when using information from social media to inform their investment decisions. Amid the COVID-19 pandemic, social media is an increasingly common means of communication. While sites like Twitter and Facebook can help us stay connected to friends and keep up with current events, social media platforms can also be used to […]

Author: Dan Brecher

Link to post with title - "Investors Should Be Wary of “Opportunities” Found Via Social Media"
Lying to SEC Investigators Can Result in Harsh Consequences, Even Jail Time post image

Lying to SEC Investigators Can Result in Harsh Consequences, Even Jail Time

A hedge fund operator accused of securities fraud was recently sentenced to three months in prison for obstruction of justice… A hedge fund operator accused of securities fraud was recently sentenced to three months in prison for obstruction of justice. The charges stemmed from lying to investigators during a deposition conducted by the Securities and […]

Author: Dan Brecher

Link to post with title - "Lying to SEC Investigators Can Result in Harsh Consequences, Even Jail Time"

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