Riveles Wahab LLP

New Protections Created for New York City Freelance Workers

On November 16, 2016, New York City Mayor Bill de Blasio signed into law the Freelance Isn’t Free Act (the “Act”), which creates new protections for freelance workers residing in New York City beginning on May 15, 2017…more

SEC Staff Issues Report and Recommendations in Connection with Changes to the Accredited Investor Standard

On December 18, 2015 the SEC staff issued a report summarizing its review of the accredited investor definition. The report offers historical and current analyses of the definition, evaluates relevant comments on and suggested…more

Silicon Valley VC Seeks to Crowdfund 100mm with JOBS Act

500 Startups, a Silicon Valley venture capital fund known for its startup incubator, said it intends to generally solicit investments from the public for its third fund…more

When is Information “Material”?: Tesla Motors and the Autopilot Crash Disclosure Dilemma

This summer, the Wall Street Journal reported that the Securities and Exchange Commission was engaging in a preliminary investigation that Tesla failed to timely disclose to investors material information. The WSJ’s report…more

California Private Funds Managing Public Retirement Plans Face New Disclosures

Reporting and disclosure requirements for managers of “alternative investment vehicles” (“AIV”) in California just became more complex with Governor Jerry Brown’s signing of a new amendment to California law, specifically aimed…more

Newly Created “Capital Acquisition Broker” Rule Reduces Regulatory Burdens on Some Broker-Dealers

On August 18th, the Securities and Exchange Commission (“SEC”) approved a Financial Industry Regulatory Authority Inc. (“FINRA”) rule that establishes less burdensome regulations for “Capital Acquisition Brokers” (“CABs”), which…more

Equity Crowdfunding Now a Reality

On May 16, 2016, the long-awaited equity crowdfunding rules authorized under the JOBS Act of 2012 came into effect. Unlike non-equity crowdfunding, which became popular during the past decade and rewards supporters with goods or…more

Term Sheets for Private Placement Offerings: Basic Overview and Sample

When shaping the terms of a private placement offering or “testing the waters” with investors, rather than going the full blown route of putting offering documents together, often a basic term sheet is used. A term sheet is a…more

SEC Issues Notice of Intent to Raise Net Worth Threshold for Qualified Clients

On May 24, 2016, the Securities and Exchange Commission (“SEC”) published a notice of its intent to issue an order increasing the net worth threshold for “qualified clients,” as defined in Rule 205-3 under the Investment…more

Debate Over Accredited Investor Definition Gaining Momentum

Discussions surrounding the accredited investor definition have crescendoed of late, demonstrating a sharp divide in opinion among regulators. On one side lies the North American Securities Administrators Association (“NASAA”),…more

Federal Courts Now Available for Trade Secret Misappropriation Claims

On May 11, 2016, President Obama publicly signed into law the Defend Trade Secrets Act, a long anticipated piece of legislation that creates a federal cause of action for trade secret misappropriation claims. Unlike claims of…more

Which Regulation D Exemption is Suitable for Your Venture?

Companies seeking to raise capital – whether through selling equity, convertible notes, or any other security – in the United States must navigate a complex landscape of securities laws and regulations. They are subject not only…more

CFTC Approves NFA Cybersecurity Interpretive Notice

Acknowledging the rapid evolution of information technology and correspondent threats, on August 20, 2015 the National Futures Association (“NFA”) issued an Interpretive Notice addressing cybersecurity concerns. The Interpretive…more

FinCEN Proposes Long-Expected AML Rule for Investment Advisers

On August 25th, 2015 the Treasury Department’s Financial Crimes Enforcement Network (“FinCEN”) proposed a new rule applicable to investment advisers. At its core, the proposal seeks to extend anti-money laundering (“AML”)…more

SEC Issues New Guidance on General Solicitation and Advertising in Regulation D Offerings

On August 6, 2015, the SEC’s Division of Corporation Finance (“DCF”) updated its Compliance and Disclosure Interpretations (“CDI”) with eleven new CDI on general solicitation and advertising in Regulation D offerings. That same…more
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40 Wall St., 28th Floor
New York, New York 10005, United States

  • 212-785-0076
  • 212-671-1874

Areas of Practice
  • Art, Entertainment, & Sports Law
  • Business Organizations
  • Commercial Law & Contracts
  • Communications & Media Law
  • Intellectual Property
  • Mergers & Acquisitions
  • Privacy
  • Science, Computers, & Tech
  • Securities Law
Other U.S. Locations
  • New York
Number of Attorneys

2-10 Attorneys

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