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Document(s) published by this organization: 13
Show: results per page Sort by:  | Potential Broker-Dealer Pitfalls for Private Investment Funds and their Managers
Pryor Cashman LLP;
Legal Alert/Article April 25, 2013, previously published on April 23, 2013 Following on its recent enforcement action (the “Ranieri Order”) against a private equity fund manager for causing a third-party finder’s failure to register as a broker-dealer, the Securities and Exchange Commission (the “SEC”) continues to signal that it has a...
|  | “Accredited Crowdfunding” Platforms Granted No-Action Relief by the SEC
Michael T. Campoli, Stephen M. Goodman; Pryor Cashman LLP;
Legal Alert/Article April 22, 2013, previously published on April 2013 When Congress enacted the Jumpstart Our Business Startups Act (the “JOBS Act”) last spring, many entrepreneurs were excited that they would soon be able to raise capital through the use of “crowdfunding” - i.e., raising money by seeking small amounts of cash from large...
| | The Realm of Advertising in 140 Characters or Less: How the FTC Addresses Modern Concerns over Digital Advertising
Ryan S. Klarberg, Robert J. deBrauwere; Pryor Cashman LLP;
Legal Alert/Article April 15, 2013, previously published on April 9, 2013 On Tuesday, March 12, 2013, the Federal Trade Commission (FTC) issued a new report that provides the latest guidance to those that advertise and market their products and services online. The detailed report, titled “.com Disclosures: How to Make Effective Disclosures in Digital...
| | Is An Issuer Responsible For The Acts Of Its Unregistered Finder?
Michael T. Campoli, Bertrand C. Fry, Stephen M. Goodman; Pryor Cashman LLP;
Legal Alert/Article April 6, 2013, previously published on April 2013 When a company seeks to raise capital, it may consider retaining “finders” that are not registered with the Securities and Exchange Commission (the “SEC”) as broker-dealers. Frequently, the proposed compensation arrangements involve paying the finder a percentage of the...
| | The Supreme Court's Latest Ruling On Copyright Law First-Sale Doctrine
James R. Klaiber, Robert J. deBrauwere; Pryor Cashman LLP;
Legal Alert/Article March 28, 2013, previously published on March 22, 2013 The Supreme Court’s latest ruling on the Copyright Act could significantly impact the American copyright industry, and, in turn, have a significant impact on commerce in the United States.
| | SEC Approves Enhanced NYSE and NASDAQ Compensation Committee Listing Standards
Michael T. Campoli; Pryor Cashman LLP;
Legal Alert/Article February 5, 2013, previously published on February 2013 The U.S. Securities and Exchange Commission (the “SEC”) has approved amendments to the corporate governance and listing standards of the New York Stock Exchange (the “NYSE”) and the Nasdaq Stock Market (“Nasdaq”) regarding the authority and responsibilities of...
| | FTC Announces Major Overhaul of Children's Online Privacy Protection Rule
Jill C. Braibanti, Jeffrey C. Johnson, Robert J. deBrauwere; Pryor Cashman LLP;
Legal Alert/Article February 1, 2013, previously published on January 2013 The Federal Trade Commission (FTC) has announced new amendments to the Children’s Online Privacy Protection Rule (COPPA Rule), effective on July 1, 2013, that refine almost all aspects of the current COPPA regulatory regime. The revised COPPA Rule requires the operators of websites and...
| | Federal Trade Commission Settles Investigation Of Google, Inc.’s Business Practices
Jeffrey C. Johnson, James R. Klaiber, Ryan S. Osterweil; Pryor Cashman LLP;
Legal Alert/Article January 12, 2013, previously published on January 8, 2013 On January 3, 2103, the Federal Trade Commission (“FTC”) issued a Statement regarding its enforcement action against Google, Inc. (“Google”), ending an investigation into whether the Corporation’s internet search practices were anti)competitive, constituting violations...
| | NYSE and Nasdaq Propose Enhanced Compensation Committee Listing Standards
Michael T. Campoli; Pryor Cashman LLP;
Legal Alert/Article October 25, 2012, previously published on October 2012 On September 25, 2012, the New York Stock Exchange (the “NYSE”) and the Nasdaq Stock Market (“Nasdaq”) proposed amendments to their corporate governance listing standards to implement the requirements of Rule 10C*1 under the Securities Exchange Act of 1934 (the...
| | FINRA Piles It On: Private Placements to Wealthy Individuals Trigger FINRA Filing Requirements
Michael T. Campoli, Bertrand C. Fry, Stephen M. Goodman; Pryor Cashman LLP;
Legal Alert/Article October 22, 2012, previously published on October 2012 Beginning December 3, 2012, when a member of the Financial Industry Regulatory Association (“FINRA”) acts as placement agent for a non&member issuer that is conducting a private placement of its securities, the member will be required, in many instances, to file the issuer’s...
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