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AS STATES HUNGER FOR REVENUES, A NEW DUE DILIGENCE RISK CONFRONTS SELLERS OF BUSINESSES

Sellers of family owned businesses being purchased by private equity buyers find themselves subject to “quality of earnings studies.” These studies are detailed examinations of the components of the revenue that ultimately make up the EBITDA on which the business is valued. Recently, QoE studies have begun to focus on abandoned or unclaimed property issues. …

Subject to State Cybersecurity Laws? Illinois, Colorado and Vermont Build on New York’s Regulations and Exceed Them

In the absence of national cybersecurity legislation (except in healthcare), individual states are increasingly taking steps to protect the personal of state residents. These regulations may govern the information practices of your organization. If you have a website that reaches these states (all websites do) and offers your goods or services to state residents, or …

FINRA Proposes Remote Inspection of Branch Offices Where Low-Risk Activities Are Conducted

At the FINRA Board of Governors Meeting that took place in late September 2017, the Board authorized publication of a Regulatory Notice soliciting comment on proposed amendments to FINRA Rule 3110 (Supervision) to provide FINRA member broker-dealer the flexibility to remotely conduct office inspections of “qualifying offices” where only low-risk activity takes place. Among other …

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