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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
Spokeo, Inc. v. Robins: An Underutilized Defense Against Claims Brought Under Federal Consumer Finance Statutes
September 29, 2020

Day Pitney Attorneys Alfred Marks and Michael Lane co-authored an article, "Spokeo, Inc. v. Robins: An Underutilized Defense Against Claims Brought Under Federal Consumer Finance Statutes," for The Banking Law Journal.

Banking Agencies Issue Examiner Guidance on Assessing the Safety and Soundness of Banks Due to Impact of COVID-19
June 24, 2020

Day Pitney Alert

COVID-19 Temporary Relief: New York-Regulated Banks Required to Grant 90-Day Forbearances for Some Borrowers
March 25, 2020

Day Pitney Alert

Negotiating with Fintechs – Beyond Due Diligence

On February 20, Michael Rave and Michael Dunne spoke at FinXTech R.O.D.E., a conference presented by Autobooks, Bank Director and Microsoft and held at the Advanced Technology Development Center in Atlanta, GA.

February 20, 2020
FinXTech R.O.D.E., Advanced Technology Development Center, Atlanta, GA
Public & Private Capital Raising: How To Fund Your Bank for Growth and/or Change

On January 27, Michael Rave will be speaking on "Public & Private Capital Raising: How To Fund Your Bank for Growth and/or Change" at Bank Director's annual conference, Acquire or Be Acquired, in Phoenix, AZ.

January 27, 2019
Acquire or Be Acquired, Bank Director's Annual Conference, Phoenix, AZ
Day Pitney, ICSGroup and CohnReznick Sponsor Private Investment Fund Seminar
December 7, 2017

On December 7, Day Pitney, ICSGroup and CohnReznick co-sponsored "Launching a Private Fund: What You Need to Know."

Day Pitney Advises Independent Bank Corp. in $24.5 Million Acquisition of Island Bancorp, Inc.
October 21, 2016

Day Pitney Press Release

FINRA's Capital Acquisition Broker Rules Face Tough Sell
September 12, 2016

Eliza Fromberg was quoted in an article, "FINRA's Capital Acquisition Broker Rules Face Tough Sell," in Law360.

Introduction of Regulation Crowdfunding
July 20, 2016

Eliza Fromberg was quoted in an article, "Introduction of Regulation Crowdfunding" in Financier Worldwide Magazine. 

Day Pitney Advises SBT Bancorp in Offering to Expand
November 10, 2015

Hartford, Conn, November 10, 2015 – Day Pitney is advising SBT Bancorp, Inc. (OTCQX: SBTB), the holding company for The Simsbury Bank & Trust Company, Inc. today in pricing a $8.4 million offering of 400,000 shares of its common stock at a public offering price of $21.00 per share.
Related Professionals
Massey, Henry
Henry Nelson Massey
Parsippany, NJ
New York, NY
T: (973) 966 8105
New Jersey Hartford Stamford Greenwich New Haven West Hartford Boston
New York Washington, DC Boca Raton Delray Beach Miami West Palm Beach

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