Brian Lebrecht

406 W. South Jordan Parkway Suite 160
South Jordan, UT 84095, United States

  • (801) 983-4948

How To Choose a Transfer Agent

All of our public company clients use a transfer agent to keep track of their shareholders, and with over 16 years of securities law experience, I have interacted with dozens of transfer agents. This article will highlight just…more
| Securities Law

When Can I Crowdfund?

The JOBS Act was approved in March, and signed into law in April 2012. In early April, I posted a blog outlining what I thought was the most interesting part of the Act, that being the ability to solicit investors in a 506…more
| Business Organizations, Securities Law

The Facebook IPO – Highlighting Alternatives?

The recent publicity surrounding Facebook’s IPO – information leaks, underwriter control, and post-IPO trading, highlight some of the downsides of a traditional underwritten IPO. The fallout – many lawsuits have been filed…more
| Securities Law

Mergers & Acquisitions: Rule 3(a)(10) Fairness Hearings: An Overview

Section 3(a)(10) Exemption Section 3(a)(10) of the Securities Act of 1933 is an exemption from Securities Act registration for offers and sales of securities in specified exchange transactions. Before the issuer can rely on…more
| Mergers & Acquisitions, Securities Law

Ethical Standards for Transactional Lawyers

Any analysis of ethics, confidentiality, and the attorney-client privilege should begin in the applicable rules of professional conduct (the “Rules”). For purposes of this article, I will review the applicable sections of …more
| Securities Law

Broker-Dealer Know Your Customer and Suitability Obligations

In July 2010, I wrote an article on FINRA Regulatory Notice 10-22, which was published as guidance to remind broker-dealers of their due diligence obligations in Regulation D offerings. Now, in a related…more
| Securities Law

Do I Have To Be Current In My '34 Act Reports To File A Form 15?

Form 15 is a simple form. It’s one page, and requires only that the issuer check at least one of the five boxes. However, there are complicated conditions to the use of Form 15, and the consequences of the filing are often…more
| Securities Law

Broker-Dealer Due Diligence Obligations in Reg. D Offerings

In April 2010, FINRA published Regulatory Notice 10-22, reminding broker-dealers of their obligation to conduct a reasonable investigation of the issuer and the securities they recommend in Regulation D offerings. What,…more
| Securities Law

Broker-Dealer Due Diligence Obligations in Reg. D Offerings

In April 2010, FINRA published Regulatory Notice 10-22, reminding broker-dealers of their obligation to conduct a reasonable investigation of the issuer and the securities they recommend in Regulation D offerings. What,…more
| Securities Law

Free Fallin' - From NASDAQ to the Pink Sheets

More and more issuers are finding that the exchange or quotation medium on which their stock is traded is being changed, sometimes without their consent or knowledge. And today there are a variety of new quotation services, or…more
| Securities Law
Areas of Practice
  • Business Organizations
  • Mergers & Acquisitions
  • Securities Law
This profile may constitute attorney advertising. Prior results do not guarantee a similar outcome. Any correspondence with this profile holder does not constitute a client/attorney relationship. Neither the content on this profile nor transmissions between you and the profile holder through this profile are intended to provide legal or other advice or to create an attorney-client relationship.