Greg H. Kahn
Day Pitney LLP
Articles
New general solicitation rules impact on private funds
USA - December 23 2013 Beginning September 23, many issuers, including hedge funds, private equity funds and venture capital funds, were permitted to use general…
SEC makes fundamental changes to private capital-raising rules
USA - July 15 2013 On July 10, the Securities and Exchange Commission ("SEC" or the "Commission") approved final rules eliminating the decades-old prohibition against…
Eliza Sporn Fromberg, R. Scott Beach, Henry Nelson Massey, Michael T. Rave
Increased SEC focus on broker-dealer registration issues for private fund managers
USA - April 12 2013 The Securities and Exchange Commission (SEC) is cracking down on private fund managers for not using registered broker-dealers for fundraising. At…
R. Scott Beach, Julia M. Boyd, Samuel A. Jennings, Henry Nelson Massey
SEC finds fault with adviser custody practices
USA - March 8 2013 On March 4, the Office of Compliance Inspections and Examinations of the U.S. Securities and Exchange Commission ("SEC") issued a Risk Alert on…
CFTC no-action relief for funds-of-funds
USA - December 11 2012 The Commodity Futures Trading Commission (CFTC) recently issued a No-Action Letter that provides relief to advisers to funds-of-funds.
