PRACTICESCorporate and Securities
Banking and Finance
EDUCATIONBrown University, B.A., 1964
New York University School of Law, J.D., cum laude, 1971
New York University School of Law, LL.M., in Taxation, 1977
- 1971, New York
SEC Announces 2023 Examination Priorities03/29/2023
On February 7, 2023, the SEC’s Division of Examinations announced its examination priorities for 2023. Examination priorities are released annually and provide investors and registrants with transparency into those areas that DOE believes bring heightened risks to investors, registrants and to the integrity of the U.S. capital markets.
Client Alert: SEC Broadens Accredited Investor Definition Expanding Access to Capital Markets09/09/2020
On August 26, 2020, the Securities and Exchange Commission (SEC) adopted amendments to the “accredited investor” definition in Rule 501(a) of Regulation D under the Securities Act of 1933, as amended, that update and improve the accredited investor definition. The purpose of the amendments is to better identify investors that have sufficient knowledge and expertise to participate in investment opportunities that do not have the rigorous disclosure and procedural requirements and related investor protections, provided by registration under the Securities Act. The amendments are substantially as proposed by the SEC on December 18, 2019.
Broker-Dealer Licensing in the Field of Real Estate Syndication - by Marshall N. Lester01/01/1974 | Business Lawyer