Henry Nelson Massey
Day Pitney LLP
Articles
SEC Risk Alert Shines Spotlight on Private Funds
USA - September 25 2020 On June 23, the U.S. Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert focused on…
Eliza Sporn Fromberg, Erik A. Bergman, Peter J. Bilfield, Lydia Joo Lee
Key Corporate Governance Points for the Board of a Privately Held Company Relating to the COVID-19 Pandemic
USA - April 6 2020 The following is a summary of key corporate governance points that the Board of Directors (or the manager or the board of managers of a limited…
Dating advice for Internet platforms: SEC provides guidance on how to form substantive pre-existing relationship
USA - August 13 2015 Can you form a substantive, pre-existing relationship in fewer than 30 days? For Internet platforms offering private placements in reliance on Rule…
"Custody Rule" information delays lead to enforcement against investment adviser
USA - November 4 2014 Securities and Exchange Commission (SEC) enforcement actions have moved out of the realm of punishing wrongdoers for harm caused and into preemptive…
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, Greg H. Kahn, Michael T. Rave
