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The U.S. Department of Labor Issues Final Fiduciary Rule on Giving Investment Advice on Employee Benefit Plans

The U.S. Department of Labor (the “DOL”) finally published its rule requiring that investment advisers act as fiduciaries (and not just determine that an investment is “suitable”) when providing recommendations on investment of funds in “plans”, such as 401k and other plans under the Employee Retirement Income Security Act of 1974 (“ERISA”), and non-ERISA plans such as... Read more »

SEC Settles With Institutional Fixed Income Trader on Charges of Misleading Clients – Chin

In August 2016, the SEC settled a “Litvak” type case with Edwin K. Chin, a former Goldman Sachs trader of residential mortgage-backed securities (“RMBS”).  The RMBS that he traded were relatively illiquid.  He was accused of both misleading customers about the ownership of the securities – in some cases, Goldman Sachs already owned the securities... Read more »

New York Not-for-Profit Corporation Law

This link is attached to a relatively recent copy of the New York Not-for-Profit Corporation Law:  http://codes.findlaw.com/ny/notforprofit-corporation-law/.  Care should be taken, however, to ensure that all of the newest, up-to-date amendments are also reviewed.  There were changes adopted in December 2015 yet that may not be reflected at this link.

Documentation of a Venture Capital Preferred Financing: The National Venture Capital Association Templates

The working group of the National Venture Capital Association has done a service by drafting and publishing on the NVCA website (www.nvca.com) as a “Resource” under “Model Legal Documents” many of the documents used for a venture capital corporation to enter into an initial or a follow-on preferred stock financing. See the article on this... Read more »

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