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Corporate and Business Law Attorneys Publish Article on Broker-Dealer Registration in Investment News

Publisher: Investment News
May 12, 2013

Hank Massey, Greg Kahn and Sam Jennings authored a May 12 article, "SEC focusing on B-D registration issues for private-fund managers," for Investment News, addressing concerns arising from the Securities and Exchange Commission's recent focus on broker-dealer registration for private fund managers. The article notes that in determining whether a private fund manager should register as a broker dealer, the main issues to focus on are: how investors are solicited and retained and by whom; and how employees are compensated for that work.

The full article can be found here.

Recommended
Implementing the New DFS Cybersecurity Regulation

Jed Davis will be a featured panelist in a CLE program titled, "Implementing the New DFS Cybersecurity Regulation," (click on title to register), sponsored by the Data Law Initiative at Cardozo Law School.

April 28, 2017
Data Law Initiative, Benjamin N. Cardozo School of Law, New York
Bank Director's Annual Conference

On January 30, Michael Rave and Richard Leu will be speaking at Bank Director's annual conference, Acquire or Be Acquired, in Phoenix, Arizona. 

January 30, 2017
Capital Acquisition Brokers: Should You Play by the New Rules?
September 1, 2016

Day Pitney Alert

FINRA Seeks SEC's Approval for "Capital Acquisition Broker" Rules
December 22, 2015

Day Pitney Advisory

Dating Advice for Internet Platforms: SEC Provides Guidance on How to Form Substantive Pre-Existing Relationship
August 13, 2015

Day Pitney Alert

Day Pitney Represents Independent Bank Corp. in its Merger Agreement with Blue Hills Bancorp, Inc.
September 20, 2018

Day Pitney Press Release

Day Pitney Represents Independent Bank Corp. in its Merger Agreement with MNB Bancorp for Rockland Trust Company to Acquire The Milford National Bank and Trust Company
May 29, 2018

Day Pitney Press Release

House Bills Could Make IPOs And Private Offerings Easier
November 3, 2017

Eliza Fromberg was quoted in an article, "House Bills Could Make IPOs And Private Offerings Easier," published in Law360.

Day Pitney Represents Valley National Bancorp in $816M Acquisition of USAmeriBancorp
July 28, 2017

Day Pitney Press Release

5 Ways To Keep Cybersecurity Woes From Derailing A Deal
July 19, 2017

Jed Davis was quoted in an article, "5 Ways To Keep Cybersecurity Woes From Derailing A Deal," published in Law360.
Related Professionals
Henry Nelson Massey
Henry Nelson Massey
Parsippany, NJ
New York, NY
T: (973) 966 8105
Kahn, Greg H.
Greg H. Kahn
Stamford, CT
New York, NY
T: (203) 977 7370
New Jersey Hartford Stamford Greenwich New Haven West Hartford
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