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Apr 11, 2013

SEC Lawyer Speaks to Broker-Dealer Registration Status of Private Fund Managers

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Late last week, a senior SEC lawyer encouraged the private equity and hedge fund communities to consider whether certain practices of private fund managers could subject these firms to SEC registration as broker-dealers. David W. Blass, Chief Counsel of the agency’s Division of Trading and Markets, raised the issue during an April 5, 2013 speech to the American Bar Association’s Trading and Markets subcommittee.

View full memo, "SEC Lawyer Speaks to Broker-Dealer Registration Status of Private Fund Managers"

Authors and Contributors

Charles Gittleman

Of Counsel

Financial Institutions Advisory & Financial Regulatory

+1 212 848 7317

+1 212 848 7317

New York

Russell Sacks

Partner

Financial Institutions Advisory & Financial Regulatory

+1 212 848 7585

+1 212 848 7585

New York

Paul Schreiber

Of Counsel

Investment Funds

+1 212 848 8920

+1 212 848 8920

New York

Azam Aziz

Partner

Derivatives & Structured Products

+1 212 848 8154

+1 212 848 8154

New York

John (Sean) Finley

Partner

Investment Funds

+1 212 848 4346

+1 212 848 4346

New York

Adam Hakki

Partner

Litigation

+1 212 848 4924

+1 212 848 4924

New York

Donna Parisi

Partner

Derivatives & Structured Products

+1 212 848 7367

+1 212 848 7367

New York

Lorna Xin Chen

Partner

Investment Funds

+852 2978 8001

+852 2978 8001

Hong Kong

John Adams

Partner

Investment Funds

+44 20 7655 5740

+44 20 7655 5740

London

John A. Nathanson

Partner

Litigation

+1 212 848 8611

+1 212 848 8611

New York

Richard F. Schwed

Partner

Litigation

+1 212 848 5445

+1 212 848 5445

New York

Mark D. Lanpher

Partner

Litigation

+1 202 508 8120

+1 202 508 8120

Washington DC