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

JOBS Act Implementation Regulations [Video]

The Jumpstart Our Business Startups Act (JOBS Act) regulations, which were announced on July 10 and which become effective on September 23, promise a new era for capital raising for operating companies and private funds...more

8/12/2013 - Accredited Investors Advertising Bad Actors Filing Requirements General Solicitation JOBS Act New Regulations Private Equity Regulation D Rule 144A Rule 156 Rule 506 Offerings SEC

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

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

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