Matthew R. Silver

Matthew R. Silver

Pepper Hamilton LLP

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New Congressional Bill Would Exempt Business Brokers From Full SEC/FINRA Broker Registration

On November 4, 2013, the U.S. House of Representatives Committee on Financial Services, by a 57-0 vote, ordered H.R. 2274 to be reported for further consideration. The bill, named the “Small Business Mergers, Acquisitions,...more

12/19/2013 - Broker-Dealer Brokers Exemptions FINRA Proposed Legislation Registration SEC

First Formal Pay-To-Play Exemption Request

In 2011, so-called “pay-to-play” prohibitions under the Investment Advisers Act Rule 206(4)-5 (the Rule) went into effect. A recent U.S. Securities and Exchange Commission (SEC) exemptive order application addresses one...more

11/18/2013 - Exemptions Pay-To-Play 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

JOBS Act Rules – Limited Grandfathering For Current Investors; Certain Other Form D Developments

Issuers taking advantage of the general solicitation allowance provided by Rule 506(c) must take “reasonable steps” to verify the accredited investor status of investors in the offering....more

8/22/2013 - Accredited Investors Advertising General Solicitation Grandfathering Rules Investors JOBS Act Marketing Regulation D Rule 506 Offerings

Bitcoin As A Medium Of Exchange

Bitcoin, when used as a medium of exchange, rather than as an investment vehicle, shows users many potential benefits. Part of the appeal is that bitcoins cannot be created at will and the supply of bitcoin, while large...more

8/5/2013 - Bitcoins Virtual Currency

The Rise Of Bitcoin

Bitcoin is a virtual currency without physical form or governmental authorization. It trades freely via electronic means. Although rare, bitcoin may also be transferred in person, by a laptop or tablet computer. Bitcoins come...more

7/16/2013 - Bitcoins FinCEN Global Economy Mobile Devices Virtual Currency

Virtual Currency: Recent Federal Regulatory Considerations

Bitcoin is a virtual currency – it has no physical form in paper or metal and is not connected with any central bank or governmental authority. It is freely tradable via the internet or other electronic means. Transactions in...more

5/2/2013 - Bitcoins FinCEN Money Services Business Virtual Currency

Will New U.S. Court Of Appeals Decision On ‘Recess Appointments’ Stay Dodd-Frank Powers Granted To CFPB And Vacate Certain...

Holding that recess appointments authorized by the Recess Appointments Clause of the U.S. Constitution are limited to “intersession recesses” – “the period between sessions of the Senate when the Senate is by definition not...more

3/5/2013 - Barack Obama Canning v NLRB CFPB De Facto Officer Doctrine Dodd-Frank Pro Forma Sessions Recess Appointments Richard Cordray

Form PF Filing Deadlines Loom For Midsized Hedge And PE Fund Advisers – Some Key Mechanical And Timing Issues

By now, most investment advisers registered with the Securities and Exchange Commission (SEC) have either (a) filed a Form PF, (b) are preparing to file a Form PF, (c) have determined that, since they do not advise “private...more

2/25/2013 - Form PF Investment Adviser Private Equity Funds

U.S. District Court Rebuffs ICI Challenge To CFTC Rule 4.5 Amendments

On December 12, 2012, the U.S. District Court for the District of Columbia released its decision in Investment Company Institute v. U.S. Commodity Futures Trading Commission, rebuffing the Investment Company Institute (ICI)’s...more

12/14/2012 - CEA CFTC CPO CTA Investment Adviser

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