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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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