Bergeson, LLP Affiliated Counsel Jared Kopel Addresses The SEC’s Regulation Of The Pre-IPO Securities Market

In an article recently published in The Recorder, Bergeson, LLP Affiliated Counsel Jared Kopel, of the Law Offices of Jared L. Kopel, addressed the SEC’s regulation of the pre-IPO Securities Market.  The article detailed discussions by a panel of three SEC enforcement lawyers, including two from Washington, D.C. headquarters, who addressed local securities lawyers regarding the risks of participating in the market for pre-IPO securities and the SEC’s regulation of that market.  In the article, Mr. Kopel noted that the SEC panelists took the position that the new swap provisions in the Dodd-Frank Act apply very broadly and lawyers should advise their financial industry clients to comply with them in their deals.  A full copy of the article can be found at https://www.therecorder.com