Paul Dunn

Paul Dunn

Pepper Hamilton LLP

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Top 5 Things You Should Know About Online Direct (P2P) Lending Law And Regulations — Before You Do Anything Else!

Few people following the crowdfunding space have been able to ignore the recent meteoric rise of online direct lending, often called “peer-to-peer” (P2P) lending. What started out as a simple one-to-multiple consumer lending...more

4/30/2014 - Broker-Dealer Crowdfunding FINRA Investment Adviser Investment Opportunities Lending SEC

Relationship Between New Rule 506(c), Regulation S And AIFMD

Beyond the general aspects of the U.S. Securities and Exchange Commission (SEC)’s new JOBS Act rules previously discussed in this series of articles, issuers who rely on new Rule 506(c) for an onshore offering and Regulation...more

8/29/2013 - AIFMD EEA EU JOBS Act New Legislation Regulation D Rule 506 Offerings SEC

Private Placements Under New Rule 506(c) – Interplay With Other Exemptions And State Law Implications

A fundamental precept of the federal securities laws is that any purchase or sale of a security must either be registered under the Securities Act of 1933 (the Securities Act) or qualify for an exemption from registration....more

8/8/2013 - General Solicitation Investors JOBS Act Private Placements Registration Regulation D Rule 506 Offerings Securities Act of 1933

SEC And European Securities Regulators Enter Into Cooperation Agreements To Share Information Regarding Fund Managers

On July 18, 2013, the Securities and Exchange Commission (SEC) entered into a memorandum of understanding (MOU) with various member states of the European Union (EU) and European Economic Area (EEA) formalizing an agreement...more

7/30/2013 - Asset Management Fund Managers Information Sharing Private Funds SEC

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