R. Scott Beach
Day Pitney LLP
Articles
Connecticut Department of Economic and Community Development Issues Guidance For Determining Which Businesses Are "Essential" under Connecticut's COVID-19 "Work from Home" Executive Order
USA - March 22 2020 On Sunday, March 22, as required by Governor Lamont's Executive Order 7H (Executive Order) dated March 20, which Executive Order was supplemented by…
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, Greg H. Kahn, 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…
Julia M. Boyd, Samuel A. Jennings, Greg H. Kahn, Henry Nelson Massey
Updated SEC guidance on the family office exclusion
USA - March 2 2012 Family offices are entities established by wealthy families to manage their wealth, plan for their families' financial future, engage in investment opportunities and provide other services to family members.
Massachusetts Securities Division comments on social media use by investment advisers
USA - February 8 2012 The Massachusetts Securities Division (the "Division") recently released an analysis of the findings of a survey sent to all 576 Massachusetts-registered investment advisers regarding their use of social media.
