David Fischer

David Fischer

Loeb & Loeb LLP

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Order Entered Against Private Equity Fund Adviser for Broker-Dealer Activity

Under the notoriously ill-considered Dodd-Frank Wall Street Reform and Consumer Protection Act, previously exempt advisers to private equity funds are subject to Securities and Exchange Commission reporting requirements and...more

6/9/2016 - Broker-Dealer Dodd-Frank Enforcement Actions Investment Adviser Investment Advisers Act of 1940 M&A Brokers No-Action Letters Private Equity Funds Reporting Requirements SEC Unregistered Brokers

SEC Provides Additional Guidance Regarding Non-GAAP Financial Measures

The Securities and Exchange Commission recently provided additional guidance regarding the kinds of non-GAAP (Generally Accepted Accounting Principles) financial measures that may be used by SEC registrants in financial...more

6/6/2016 - EBITDA Financial Reporting GAAP Non-GAAP Financial Measures SEC

SEC Crowdfunding Rules to Become Effective May 16

Securities and Exchange Commission rules authorizing equity crowdfunding become effective May 16, 2016. Under the crowdfunding rules, an eligible company may raise up to $1 million on the internet in a 12-month period,...more

4/28/2016 - Brokers Crowdfunding Disclosure Requirements Filing Requirements Funding Portal Investors SEC

SEC Seeks Comment on REG S-K Business and Financial Disclosure Requirments

The Securities and Exchange Commission has issued a concept release seeking comments to modernize the business and financial reporting requirements of Regulation S-K, the foundation of business and financial disclosure in...more

4/27/2016 - Comment Period Disclosure Requirements Fixing America’s Surface Transportation Act (FAST Act) JOBS Act Regulation S-K SEC

FAST Relief for EGCs and Others: JOBS Act 2.0

A just-enacted 500-page transportation bill (the FAST Act) contains provisions nicknamed JOBS Act 2.0 (after the popular JOBS Act of 2012), which liberalized aspects of federal securities to encourage capital...more

12/18/2015 - Emerging Growth Companies Fixing America’s Surface Transportation Act (FAST Act) JOBS Act Regulation S-K SEC

SEC Adopts Enhanced Exempt Securities Offering Rules

As directed by Congress in the Jump Start Our Business Startups (JOBS) Act, the Securities and Exchange Commission has adopted rules substantially increasing amounts that companies can raise through exempt public offerings....more

4/24/2015 - JOBS Act Public Offerings Registration Requirement Regulation A SEC Small Offering Exemptions

SEC Assault on Employee Confidentiality Agreements

The Securities and Exchange Commission recently announced an enforcement action against KBR, Inc., alleging that a form of confidentiality agreement used in internal investigations violated an SEC whistleblower rule. To...more

4/15/2015 - Confidentiality Agreements Enforcement Actions Internal Investigations KBR (formerly Kellogg Brown & Root) Rule 21F SEC Whistleblower Protection Policies Whistleblowers

Delaware Supreme Court Validates Fee-Shifting Bylaws

The Delaware Supreme Court has declared valid on its face a bylaw requiring the members of a non-stock corporation to pay its legal fees incurred in defending the members' unsuccessful suit against the corporation, endorsing...more

6/10/2014 - ATP Tours Bylaws Fee-Shifting PSLRA

SEC Conflict Minerals Reporting Update

The first reports on Securities and Exchange Commission Form SD, regarding the presence of so-called "conflict minerals" in products manufactured or contracted for manufacture by SEC reporting companies, are due June 2, 2014....more

5/23/2014 - Conflict Mineral Rules Form SD Manufacturers NAM Reporting Requirements SEC

Highlights from Regulatory Initiatives - Outsourcing Panel

Loeb & Loeb LLP held its annual program, Outsourcing in Financial Services, on Jan. 23, 2013. Grace Vogel, Executive Vice President of the Financial Industry Regulatory Authority (FINRA), and Michael Macchiaroli, Associate...more

2/20/2013 - Broker-Dealer FINRA Offshoring Outsourcing SEC

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