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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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SEC Poised to Overhaul Advertising Rules for Investment Advisors post image

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

Link to post with title - "SEC Poised to Overhaul Advertising Rules for Investment Advisors"
Is It Time to Jump In? SEC Allows All Companies to Test the Waters post image

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

Link to post with title - "Is It Time to Jump In? SEC Allows All Companies to Test the Waters"
How NOT to Create a Contract Via Email post image

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

Link to post with title - "How NOT to Create a Contract Via Email"
Will Congress Expand Pool of Investors Eligible to Participate in Private Offerings? post image

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

Link to post with title - "Will Congress Expand Pool of Investors Eligible to Participate in Private Offerings?"
“Testing the Waters” - The SEC’s New Proposal post image

“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

Link to post with title - "“Testing the Waters” - The SEC’s New Proposal"
Judge Reverses Course Ruling Blockvest ICO - It Is a Security post image

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

Link to post with title - "Judge Reverses Course Ruling Blockvest ICO - It Is a Security"
How the Partial Federal Government Shutdown Is Impacting NY and NJ Businesses post image

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

Link to post with title - "How the Partial Federal Government Shutdown Is Impacting NY and NJ Businesses"
Court Rules Vs SEC to Find ICO Not a Security post image

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

Link to post with title - "Court Rules Vs SEC to Find ICO Not a Security"
FIRRMA Changes to the CFIUS Regime Begin to take Effect post image

FIRRMA Changes to the CFIUS Regime Begin to take Effect

Seeking to curtail the uncompensated taking of American intellectual property and business secrets, the U.S. Treasury has begun the process of implementing the Foreign Investment Risk Review Modernization Act of 2018 (FIRRMA). The law, which President Donald Trump signed this summer, significantly changes the procedures used to conduct national security reviews of foreign investments in the United States.

Author: Dan Brecher

Link to post with title - "FIRRMA Changes to the CFIUS Regime Begin to take Effect"

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