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Andrew Feldman and Mark Strefling teach online CLE on Compliance Priorities for Investment Advisors

RLG partners Andy Feldman and Mark Strefling taught a CLE class on “Investment Adviser Regulatory Landscape: Current and Emerging Compliance Priorities” for ProLawCLE.  They noted that with a new SEC chair appointed by the Biden administration, attorneys and compliance professionals have an increased focus on compliance policies and procedures adopted under the Investment Advisers Act … Read more

Gary J. Ross leads panel on Regulation A+ during American Bar Association Business Law Section Spring Meeting

Gary J. Ross put together and moderated the panel “The Regulation A+ Alternative (to Reg D or an IPO)” for the American Bar Association Business Law Section Virtual Spring Meeting.  The presentation was co-sponsored by the Federal Regulation of Securities and the Middle Market and Small Business committees.  Panelists included Rod Turner of Manhattan Street … Read more

Gary J. Ross on Panel for American Bar Association Business Law Section event “Resales of Restricted Securities in Privately-Held Companies”

Gary J. Ross participated in a CLE webinar for the American Bar Association examining the existing regulatory framework around “restricted securities,” and the avenues available for their sale, including the Rule 144 safe harbor and other exemptions.  Gary discussed the so-called “Section 4(a)(1 1/2)” exemption, the more recent Section 4(a)(7) exemption, and blue sky considerations … Read more

Gary J. Ross and Greg Hartmann teach online CLE on Venture Capital Funds: Formation, Terms, Issues Encountered, and Other Practice Tips for Counsel

Gary J. Ross and Gregory A. Hartmann taught a 75-minute CLE for the National Academy of Continuing Legal Education on “Venture Capital Funds: Formation, Terms, Issues Encountered, and Other Practice Tips for Counsel” on October 21, 2020.  Greg and Gary covered a host of topics, including the regulations applicable to venture capital funds, the various … Read more

Gary J. Ross on Panel for American Bar Association Business Law Section event “Capital Formation in the COVID-19 Era”

  As capital market conditions, regulation and legislation evolve at an historic pace in the wake of the COVID-19 pandemic, the American Bar Association Business Law Section hosted a CLE presentation program that presented the latest that lawyers and their business clients must know in order to access capital in the new regulatory regime that … Read more

Ross Law Group statement on COVID-19

In response to the COVID-19 pandemic and the “New York State on PAUSE” executive order, we want to provide you with an update on our ongoing efforts to continue assisting clients while also protecting the health and safety of our workforce. RLG has a robust telework system in place for all of our attorneys and … Read more

Gary J. Ross is featured speaker of webinar on Navigating Securities Laws & Building Startups in Regulated Spaces, hosted by OnDeck Fellowship

Gary J. Ross was the featured speaker of a webinar hosted by On Deck, a bi-coastal fellowship of entrepreneurs.  Gary fielded questions from the fellows, which primarily focused on broker-dealer and investment adviser registration, and the various exemptions from registration which are available for securities offerings.