Robert Friedel

Robert Friedel

Pepper Hamilton LLP

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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 Relaxes Ban On Advertising And Solicitation For Private Placements To Accredited Investors

In a watershed event reversing decades of private offering restrictions, on July 10, 2013, the Securities and Exchange Commission (SEC) approved final rules required by the Jumpstart Our Business Startups Act of 2012 (JOBS...more

7/18/2013 - Accredited Investors Advertising General Solicitation Investors JOBS Act Private Placements Regulation D Rule 144A Rule 506 Offerings SEC

Access To The U.S. Capital Markets By Foreign Issuers: A Guide To Rule 144A And Regulation S Offerings

Public and private entities can access the U.S. capital markets without registering the offering with the U.S. Securities and Exchange Commission (SEC) by issuing securities under Rule 144A and/or Regulation S of the U.S....more

6/11/2013 - Capital Markets Debt Securities Equity Securities Offerings Qualified Institutional Buyers Rule 144A Sarbanes-Oxley

Social Media Use By Public Companies – The SEC Weighs In

The increasing presence of social media has created new avenues for companies to market to and connect with consumers, customers and investors. Many heads of industry maintain very public profiles, appearing regularly on...more

4/5/2013 - Facebook Investors Netflix Public Disclosure Reed Hastings Regulation FD SEC Social Media

NYSE And NASDAQ Compensation Committee And Compensation Advisers Listing Standards

Section 952 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Act) provides standards and disclosure requirements related to the independence of compensation committees and their retained advisors. To...more

1/23/2013 - Compensation Committee Dodd-Frank Listing Standards Nasdaq NYSE SEC

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