Brian Korn

Brian Korn

Pepper Hamilton LLP

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Thomson Reuters Session - April: Investment Management, Hedge Funds & Registered Mutual Funds: What's Happening Now? [Video]

Pepper partner Gregory J. Nowak has regularly hosted a roundtable in Pepper’s New York office for private funds and their managers to discuss issues in the investment management world. He has recently started to give a...more

5/5/2014 - Appearance Policy Enforcement Actions Hedge Funds Investment Adviser SEC

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

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

Crowdfunding And Peer-To-Peer Lending: Legal Framework And Risks; Peer-To-Peer Lending Meetup New York

In This Presentation: - Crowdfunding - SEC Rules are Out - now what? ..JOBS Act Overview ..Crowdfunding background ..Backdrop: Current Crowdfunding Landscape – Five* Varieties ..Public Equity...more

12/18/2013 - Crowdfunding JOBS Act Lending Peer-to-Peer 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

SEC Proposes Crowdfunding Rules

In an important first step towards regulating businesses that fund their ventures online, the Securities and Exchange Commission (SEC) unanimously approved the proposal of rules that will govern the...more

10/24/2013 - Crowdfunding JOBS Act 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

Don’t Short Before The Deal, SEC Reminds Hedge Funds And Buyside Firms

On September 17, 2013, the Securities and Exchange Commission (SEC) announced enforcement actions against 23 investment firms for violations of Rule 105 of SEC Regulation M. Rule 105 generally prohibits short selling...more

9/20/2013 - Enforcement Actions Hedge Funds Public Offerings Regulation M SEC Short Sales

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

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

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

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

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

Is Crowdfunding Dead On Arrival? A Legal Perspective...

"[Crowdfunding] lays the riskiest investments at the doorstep of those investors that can least afford the risk. And it won’t create jobs except for plaintiff’s lawyers…”...more

5/15/2013 - Crowdfunding JOBS Act Kickstarter Legal Perspectives SEC Social Media Startups Venture Capital

The Trouble With Crowdfunding

It’s about one year since President Obama signed the Jumpstart Our Business Startups Act (the JOBS Act), designed to help new companies raise capital and go public. For individual investors the most troublesome provisions of...more

4/18/2013 - Crowdfunding JOBS Act SEC Social Media Startups

SEC Roundtable On Decimalization Raises Many Questions, Few Answers

The Securities and Exchange Commission (SEC) held a roundtable forum on February 5, 2013 to solicit financial industry views on “decimalization” in accordance with the directive under Section 106(b) of the Jumpstart Our...more

2/18/2013 - Decimalization High-Speed Trading JOBS Act 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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