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Dating advice for Internet platforms: SEC provides guidance on how to form substantive pre-existing relationship

USA - August 13 2015 Can you form a substantive, pre-existing relationship in fewer than 30 days? For Internet platforms offering private placements in reliance on Rule…

Eliza Sporn Fromberg, Henry Nelson Massey

SEC grants relief to M&A brokers from broker-dealer registration

USA - February 7 2014 In a no-action letter dated January 31 and revised on February 4 (the "M&A Brokers Letter"), the Securities and Exchange Commission (SEC) Division of…

Eliza Sporn Fromberg

Proposed crowdfunding rules: the storm before the calm?

USA - October 25 2013 Almost a year and a half after Congress passed the Jumpstart Our Business Startups (JOBS) Act in April 2012, and following scores of subsequent…

Lane T. Watson

Updated SEC guidance on the family office exclusion

USA - March 2 2012 Family offices are entities established by wealthy families to manage their wealth, plan for their families' financial future, engage in investment opportunities and provide other services to family members.

R. Scott Beach, Samuel A. Jennings

Massachusetts Securities Division comments on social media use by investment advisers

USA - February 8 2012 The Massachusetts Securities Division (the "Division") recently released an analysis of the findings of a survey sent to all 576 Massachusetts-registered investment advisers regarding their use of social media.

R. Scott Beach, Samuel A. Jennings, Jonathan R. Morris