Jeffrey A. Clopeck
Day Pitney LLP
Articles
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…
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…
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…
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.
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.
