Brian Korn

Brian Korn

Pepper Hamilton LLP

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Latest Posts › Private Placements


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

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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