Brian Korn

Brian Korn

Pepper Hamilton LLP

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SEC Gets Tough On Bad Actors

New Securities and Exchange Commission (SEC) Rule 506(d), which is set to take effect September 23, 2013, disqualifies securities offerings from reliance on the private placement exemption of Rule 506 of the Securities Act of...more

9/11/2013 - Bad Actors Dodd-Frank JOBS Act Rule 506 Offerings SEC Securities Act of 1933

Landmark Swap Rules Adopted By CFTC

At its Twenty-Ninth Meeting to consider rulemaking under the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2012 (Dodd-Frank) on May 16, 2013, the U.S. Commodities Futures Trading Commission (CFTC) adopted three...more

5/27/2013 - CFTC Commodities Exchange Act Dodd-Frank Swap Execution Facilities Swaps

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