Brian Korn

Brian Korn

Pepper Hamilton LLP

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Top 5 Things You Should Know About Online Direct (P2P) Lending Law And Regulations — Before You Do Anything Else!

Few people following the crowdfunding space have been able to ignore the recent meteoric rise of online direct lending, often called “peer-to-peer” (P2P) lending. What started out as a simple one-to-multiple consumer lending...more

4/30/2014 - Broker-Dealer Crowdfunding FINRA Investment Adviser Investment Opportunities Lending SEC

Investment Funds Need To Be Aware: Broker-Dealer Private Placement Compliance Requirements Are Now In Effect

New FINRA Rule 5123 is now applicable and investment funds need to be cognizant of its requirements. Approved last June, Rule 5123 requires FINRA member firms (principally broker-dealers) participating in private placements...more

2/6/2013 - Broker-Dealer Compliance Filing Requirements FINRA Fundraisers Investment Funds JOBS Act Private Placements SEC

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