Daniel I. DeWolf

Daniel I. DeWolf

Mintz Levin

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Registration Requirements Eased for Brokers and Financial Advisors in M&A Transactions

We are often asked whether a financial advisor or business broker may advise on mergers and acquisitions and similar business combinations of a privately held company in a stock transaction without having to register as a...more

3/27/2014 - Broker-Dealer No-Action Letters Registration Securities Exchange Act

The New Rule 506: a Useful Crowdsourcing Tool

When the JOBS Act was passed in the spring of 2012, all the “buzz” was about the imminent advent of “Crowdfunding.” But as legal practitioners, business persons, and pundits looked closer at the details under the Crowdfunding...more

8/7/2013 - Advertising Crowdsourcing Dodd-Frank General Solicitation JOBS Act Regulation D Rule 144A Rule 506 Offerings SEC Title III

SEC Adopts Rules Permitting General Solicitation in Private Offerings Limited to Purchases by Accredited Investors

On July 10, 2013, the Securities and Exchange Commission (the “SEC”) adopted rules that repealed a long-standing ban on the use of general solicitation for private securities offerings. These changes will be effective in...more

7/23/2013 - Accredited Investors Advertising General Solicitation Marketing Private Placements Regulation D Rule 144A Rule 506 Offerings SEC

Two Recent SEC No Action Letters Establish Standards for Crowdsourcing Online Platforms Limited to "Accredited Investors" to Avoid...

In two recent no action letters, the Securities and Exchange Commission (the “SEC”) granted no action relief for two venture capital online funding platforms, the FundersClub, Inc. (“FundersClub”) and AngelList, LLC...more

4/11/2013 - Accredited Investors AngelList Broker-Dealer Carried Interest Fundersclub.com No-Action Letters Private Placements SEC Securities Exchange Act

Fiscal Cliff Legislation Extends Tax Incentive to Invest in Small Businesses

As a result of the recent “fiscal cliff” legislation, otherwise known as the American Taxpayer Relief Act of 2012 (2012 Tax Act), many individual investors are expecting future tax increases, either in the form of higher...more

1/21/2013 - American Taxpayer Relief Act C-Corporation Capital Gains Fiscal Cliff Income Taxes Net Investment Income Qualified Small Business Stock

Energy & Clean Tech Connections: Your Law Firm Link to Industry News -- January 2013

In the January edition of Energy & Clean Tech Connections, we’ve gathered recent information from a wide variety of sources in an effort to keep you abreast of what’s new in the world of clean energy. We draw your attention...more

1/9/2013 - Biofuel China Clean Tech Fiscal Cliff Investment Tax Credits Offshore Wind Production Tax Credit REIT Renewable Energy Solar Energy Wind Power

Energy & Clean Tech Connections: Your Law Firm Link to Industry News -- December 2012

In the December edition of Energy & Clean Tech Connections, we’ve gathered recent information from a wide variety of sources in an effort to keep you abreast of what’s new in the world of clean energy. We draw your attention...more

12/7/2012 - Biofuel Clean Tech Solar Energy Wind Power

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