Technology has spawned the formation of new internet-based marketplaces for illiquid and restricted securities. In most instances, these markets are operated by entities registered with the U.S. Securities and Exchange...more
5/15/2013 - AngelList Broker-Dealer Fundersclub.com Funding Portal Investors JOBS Act No-Action Letters SEC Securities Exchange Act
A recent public statement by a member of the senior staff (“Staff”) of the Securities and Exchange Commission (“SEC”) and recent SEC enforcement actions have reminded private equity and other private fund managers (such as...more
4/22/2013 - Broker-Dealer Finders Fund Managers Investment Adviser Marketing Private Funds Ranieri Partners Registration SEC Securities Exchange Act Transaction-Based Compensation
Introduction - The U.S. Congress recently passed two laws that raise the stakes dramatically for employees of financial services firms and anyone else who misappropriates trade secrets, including source code and other...more
2/6/2013 - Criminal Prosecution Damages Economic Espionage Act Injunctions Penalty Enhancements Theft of Trade Secrets Clarification Act Trade Secrets
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