Brian Korn

Brian Korn

Pepper Hamilton LLP

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No Easy A: SEC Proposes Rules For Regulation A+

In the last of its major rulemaking proposals under the JOBS Act, on December 18, 2013, the U.S. Securities and Exchange Commission (SEC) voted to publish proposed rules to modify and develop Regulation A, the so-called (and...more

12/23/2013 - Crowdfunding Investors JOBS Act Preemption Public Offerings Registration Regulation A Regulation D SEC

Resales Of Restricted And Control Securities Under Rule 144

By progressively shortening the Rule 144 holding period for resales of restricted securities, the Securities and Exchange Commission has enhanced such securities’ liquidity and reduced the overall cost of raising capital. The...more

10/1/2013 - Affiliates Holding Requirements Investors Issuers Registration Rule 144 Opinion SEC Securities Act of 1933

New Paradigms In Investor Liquidity: Private And 'Off-Market' Resales Of Securities Under Rule 144 And Beyond

I. Introduction - Over the past decade, a paradigm shift has been occurring in the capital markets that has opened a new panoply of options for security holders desiring liquidity. Originally Published in...more

7/24/2013 - Accredited Investors Exchange-Traded Products Investors Resales Agreements Rule 144A SEC Securities Securities Act of 1933

SEC Relaxes Ban On Advertising And Solicitation For Private Placements To Accredited Investors

In a watershed event reversing decades of private offering restrictions, on July 10, 2013, the Securities and Exchange Commission (SEC) approved final rules required by the Jumpstart Our Business Startups Act of 2012 (JOBS...more

7/18/2013 - Accredited Investors Advertising General Solicitation Investors JOBS Act Private Placements Regulation D Rule 144A Rule 506 Offerings SEC

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