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

Business Forum: Overseas Firms Look To U.S. For IPOs

When China's e-commerce giant Alibaba -- with a valuation that may make it the world's third-largest Internet company behind only Google and Amazon -- made the decision to go public, listing in Hong Kong was its natural first...more

12/3/2013 - China FINRA Foreign Corporations Foreign Investment IPO Sarbanes-Oxley SEC

FINRA: Funding Portals, Start Your Engines!

The regulatory framework for the crowdfunding exemption created under the Jumpstart Our Business Startups Act of 2012, or JOBS Act, is beginning to take shape. On the same day the Securities and Exchange Commission (SEC)...more

10/28/2013 - Crowdfunding FINRA Internet JOBS Act SEC

Why We Could Easily Have Another Flash Crash

Three years ago, on May 6, 2010, U.S. capital markets experienced the “flash crash,” when the Dow Jones Industrial Average suffered a stunning 1,000-point loss (9 percent) in five minutes, followed by an equally dramatic...more

8/12/2013 - CFTC Cyber Attacks Dow Jones Electronic Trading FINRA Flash Crash NYSE S&P SEC Stocks Terrorist Acts

Supreme Court Rules DOMA Unconstitutional – Securities Law And Corporate Finance Implications

On June 26, 2013, the U.S. Supreme Court, in U.S. v. Windsor, ruled that Section 3 of the Defense of Marriage Act (DOMA) is unconstitutional because it violates the Fifth Amendment’s equal protection guaranty for persons of...more

7/1/2013 - Accredited Investors DOMA Equal Protection FINRA Item 404 Regulation D Regulation S-K Rule 506 Offerings Same-Sex Marriage SCOTUS SEC US v Windsor

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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