Gregory Nowak

Gregory Nowak

Pepper Hamilton LLP

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CFTC Grants Exemptive Relief to Private Fund Managers: General Solicitation Conditionally Permitted

The JOBS Act and the regulations thereunder (which went effective on September 23, 2013) applies to private issuers – including hedge funds and private equity funds – that want to make general solicitations within the context...more

9/18/2014 - CFTC Fund Managers General Solicitation JOBS Act Private Equity Private Funds Rule 506 Offerings

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

The SEC’s Proposed Rule Changes Under The JOBS Act

As much as the elimination of the ban on general solicitation of private placements through the passage of Rule 506(c) creates significant opportunities for private issuers, the U.S. Securities and Exchange Commission (SEC)...more

9/19/2013 - Disclosure Requirements Form D Filing General Solicitation JOBS Act Proposed Regulation Regulation D Rule 506 Offerings SEC

The Impact Of Rule 506(c) On Private Funds And Their Managers Who Are Legally Avoiding Full Registration As Commodity Pool...

The Jumpstart Our Business Startups Act (JOBS Act) directed the U.S. Securities and Exchange Commission (SEC) to eliminate the prohibition against general solicitation or general advertising in any offering of securities...more

9/5/2013 - CFTC Commodities Exchange Act Commodity Pool Fund Managers General Solicitation JOBS Act Private Equity Funds Private Funds Rule 506 Offerings SEC

Broker In Disguise?

In this month’s challenge, Pepper Hamilton partners Christopher Rossi and Gregory Nowak explain when a firm may need to consider registering as a brokerdealer with the SEC. Originally Published in PEI's Private Equity...more

8/29/2013 - Broker-Dealer JOBS Act New Regulations Regulation D SEC Securities Exchange Act

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

Introduction To JOBS Act Regulations Effective On September 23, 2013

On July 10 the Securities and Exchange Commission (SEC) adopted implementing regulations under the JOBS Act of 2012 (concerning the relaxation of the prohibitions against “general solicitations” under Regulation D under the...more

8/2/2013 - Accredited Investors Advertising Bad Actors Disqualification Dodd-Frank General Solicitation JOBS Act Regulation D 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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