Day Pitney remains committed to providing quality legal counsel, while protecting our clients and employees, and transforming our communities into more just, equal and equitable spaces. For more information, please visit our COVID-19 Resource Center | Racial Justice and Equity Task Force.

×
×
About Day Pitney Careers News Client Access

Insights

Publications Events

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
Hank Massey Presents ICLE at Morris Essex Inn of Transactional Counsel
September 9, 2015
SEC's Dating Advice For Internet Platforms And Its Impact
August 19, 2015

Jeffrey A. Clopeck, Henry Nelson Massey and Eliza Sporn Fromberg wrote the article, "SEC's Dating Advice For Internet Platforms And Its Impact," for Law360. The article analyzes how some internet platforms are offering private placements in reliance on Rule 506(b) of Regulation D with approval from the Securities and Exchange Commission. This form of "speed dating" with prospective investors by Internet platforms offering private placements is allowed so long as the platform asks probing questions.

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

Day Pitney Alert

Eliza Fromberg, Michael Rave and Kendall Wilson Author Article for The Corporate & Securities Law Advisor
April 30, 2015
Regulation A+ Could Go to the Head of the Class
March 30, 2015
68 Day Pitney Lawyers Named to 2016 Best Lawyers List
August 24, 2015

Stamford, Conn., August 24, 2015 - Day Pitney is pleased to announce that 68 attorneys have been selected for inclusion in the 2016 Best Lawyers in America. Best Lawyers ranks lawyers through peer-review surveys, and has been published annually since 1983.

Chambers USA 2015 Names 51 Day Pitney Attorneys "Leading Lawyers for Business"
May 21, 2015
Greg Kahn Quoted on an Increase in Permanent Capital Vehicles in Law360
May 11, 2015
Eliza Fromberg Featured in the Bankless Times
May 3, 2015
Hank Massey Quoted in Commerce Magazine about Best Practices for Family Businesses
May 1, 2015
Related Professionals
Massey, Henry
Henry Nelson Massey
Parsippany, NJ
New York, NY
T: (973) 966 8105
Greg H. Kahn
Stamford, CT
New York, NY
T: (203) 977 7370
New Jersey Hartford Stamford Greenwich New Haven West Hartford Boston
New York Washington, DC Providence Boca Raton Miami West Palm Beach

This website may use cookies, pixel tags and other passive tracking technologies, including Google Analytics, to improve functionality and performance. For more information, see our Privacy Policy. By using our website, you are consenting to our use of these tracking technologies. You can alter the configuration of your browser to refuse to accept cookies, but if you do so, it is possible that some areas of web sites that use cookies will not function properly when you view them. To learn more about how to delete and manage cookies, refer to the support instructions for each browser (e.g., see AllAboutCookies.org). You may locate Google Analytics' currently available opt-outs for the web here.

This website may use cookies, pixel tags and other passive tracking technologies, including Google Analytics, to improve functionality and performance. For more information, see our Privacy Policy. By using our website, you are consenting to our use of these tracking technologies. You can alter the configuration of your browser to refuse to accept cookies, but if you do so, it is possible that some areas of web sites that use cookies will not function properly when you view them. To learn more about how to delete and manage cookies, refer to the support instructions for each browser (e.g., see AllAboutCookies.org). You may locate Google Analytics' currently available opt-outs for the web here.