Greg Kahn and Eliza Sporn Fromberg Discuss "Private Equity Fund Managers' Dilemma" in VC Experts

Publisher: VC Experts

May 23, 2013

Corporate and Business Law attorneys Greg Kahn and Eliza Sporn Fromberg authored an article titled "The Private Equity Fund Managers' Dilemma: Register as Broker-Dealers or (Potentially) Cease Collecting Fees for 'Investment Banking Activities'?" for the May 23 edition of VC Experts. They discuss comments by the chief counsel of the SEC's Division of Trading and Markets, which suggest "that private fund managers' receipt of transaction fees in connection with the purchase, sale or recapitalization of a portfolio company, if accompanied by a securities issuance, may trigger broker-dealer status questions." Greg and Eliza write that the effect could be greatest for "private equity funds, particularly small funds, and independent sponsors" and urge early review of the issues.

The full article can be found here.

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Day Pitney has been named a finalist in the category of "Accounting, CPA or Law Firms Serving Family Offices" for the 2018 Family Wealth Alliance Best in the Industry Awards.

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Tom Goldberg and Scott Beach were quoted in an article, "Day Pitney Lawyers Bullish About Stamford Move," published by the Stamford Advocate.

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Day Pitney partners Michael Furey and David Waizer were recognized in the inaugural NJBIZ Vanguard Series: Leaders in the Law.