Dana Fleischman

Dana Fleischman

Latham & Watkins LLP

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SEC Approves Significant Amendments to FINRA Rules 5110 and 5121

The amendments simplify and refine the scope of FINRA’s corporate financing and conflict of interest rules in several important respects. The Securities and Exchange Commission (SEC) recently approved two proposals...more

5/23/2014 - Banks Compliance Corporate Governance Financial Regulatory Reform FINRA SEC

The JOBS Act, Two Years Later: An Updated Look at the IPO Landscape

Two years ago, the Jumpstart Our Business Startups (JOBS) Act became law. Title I of the JOBS Act significantly changed the IPO playbook, creating a new category of issuer called an emerging growth company (EGC) and rewriting...more

4/4/2014 - Emerging Growth Companies IPO JOBS Act

FINRA’s Proposed Limited Broker Regime Falls Short of Private Fund Needs

FINRA proposes a new “lite” registration regime for private placements and M&A activity. The Financial Industry Regulatory Authority’s (FINRA) recently issued Regulatory Notice regarding proposed rules (Proposed...more

3/20/2014 - Brokers FINRA Private Funds Securities Exchange Act

The Good, the Bad and the Offer: Law, Lore and FAQs

An Updated Look at the World of Offers - It all seems simple enough. The concept of “offer” is broad under the securities laws, so companies and underwriters need to be careful about any publicity in connection with a...more

3/7/2014 - Compliance Corporate Counsel Corporate Governance Dodd-Frank IPO JOBS Act Offers Press Releases SEC Securities Act of 1933 Underwriting

A More Practical Approach to Broker-Dealer Registration

Recent SEC no-action letter provides business brokers relief from federal broker-dealer registration requirement. On January 31, 2014, the Division of Trading and Markets of the U.S. Securities and Exchange Commission...more

2/19/2014 - Broker-Dealer Brokers No-Action Letters SEC Securities Exchange Act

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