Private Placements -Financial Services & Regulatory Archives

September 27, 2019

Supreme Court Strengthens Protection of “Confidential” Information Under FOIA

Since 1967, the Freedom of Information Act (“FOIA”) has provided the public the right to request access to records from any federal agency. Federal agencies are required to disclose any information requested under the FOIA unless it falls under one of nine statutory exemptions. FOIA Exemption 4 of the 5 U.S.C. §552(b)(4) prevents mandatory…

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July 16, 2018

Michael Wise

July 13, 2018

Private Placements

Private Placements Companies who attempt to raise money without the assistance of a qualified securities attorney risk significant enforcement, compliance, and civil liability exposure. Lawrence Kamin represents issuers and investors in private placement offerings and financing. We counsel businesses that are bringing in employees as owners as well as businesses turning to outside investors. Our […]

July 12, 2018

Thomas F. Bennington, Jr.

July 11, 2018

David L. Reich

October 2, 2003

Personal Trading Policies and Procedures Including Insider Trading Rules

The Securities and Exchange Commission (“SEC”) has placed a significant amount of enforcement and examination emphasis on personal trading and insider trading policies and procedures of investment advisers. Investment advisers are required to have written supervisory procedures to prevent insider trading and to prevent vicarious liability for personal trading. The absence of…

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September 1, 2000

Securities Sites and Online Trading Become Regulatory Priorities

Issues faced by regulators include the validity of electronic signatures, disclosures required in online trading, whether hyperlinks are regulated with the documents in which they are embedded, what obligations online sites have to day traders, when offers to buy can be accepted in IPOs, and more. Inconsistencies between the U.S. and other national…

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