I am off to sunny south Florida to attend this week's National Investment Banking Association conference. NIBA is an over 30 year old group of investment banks concentrating on small and microcap companies. There are always interesting companies and panels and I am very much...
After unanimously sailing through the House Financial Services Committee back in November, the full House of Representatives, in a lopsided 412-4 vote, last week passed HR 3448, known as The Small Cap Liquidity Act of 2013. The bill now moves to the US Senate for...
Andrew Greene is the lawyer who was in charge of corporate finance at defamed brokerage firm Stratton Oakmont, depicted in the hit movie "The Wolf of Wall Street". As we know the movie is based on the book of the same name by convicted felon...
I was recently interviewed for a Podcast on the UR Business Network show, "Way Off Wall Street" with Marshall Sterman. The 20-minute interview can be found at http://urbusinessnetwork.com/david-feldman-expert-securities-attorney-way-wall-street-marshall-sterman/. I cover entrepreneurship, going public, Regulation A, crowdfunding, IPO alternatives, the regulatory environment, you name it! If you...
A few weeks ago at a keynote speech in California, SEC Chair Mary Jo White covered a wide range of topics in the world of securities regulation. The speech also referenced crowdfunding and Regulation A, both the subject of current pending rulemakings awaiting final action...
The American Bar Foundation just completed a study in which they learned that roughly a quarter of those who took the bar exam in 2000 are not practicing law currently. The study checked on this same group in 2003 and 2007 as well. Only 9%...
In a stunning reversal from over a decade of ruling differently, last Friday the SEC released a "no-action" letter saying it will not go after intermediaries in merger & acquisition transactions for failure to register as a broker-dealer even if they receive a commission equal...
As we get ready to enjoy football's Super Bowl here in the US today, we also think about the mega millions made by the league, teams, sponsors and merchants in promoting the big game. The National Football League strongly protects its Super Bowl trademark and...