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HTMLSometimes You Don't Have to Register
Steven M. Felsenstein, J. Scott Sheehan; Greenberg Traurig, LLP;
Legal Alert/Article
February 11, 2014, previously published on February 7, 2014
On January 31, 2014, the Division of Trading and Markets (the Division) of the U.S. Securities and Exchange Commission released a no-action letter indicating that the staff of the Commission would not recommend enforcement action against an “M&A Broker” (as that term is defined in the...

 

HTMLIncreased Attention to Broker-Dealer Registration in the Private Fund World
Arthur Don, Steven M. Felsenstein, Genna Garver; Greenberg Traurig, LLP;
Legal Alert/Article
April 22, 2013, previously published on April 19, 2013
The role of unregistered persons in the sale of interests in privately placed investment funds is an area of great interest for the SEC and the subject of recent enforcement actions. On March 8, 2013, the SEC filed and settled charges against a private fund manager, Ranieri Partners, LLC, one of...

 

HTMLAIFMD - Effect on U.S. Fund Managers
Arthur Don, Steven M. Felsenstein, Genna Garver; Greenberg Traurig, LLP;
Legal Alert/Article
April 22, 2013, previously published on April 19, 2013
New European Union legislation that regulates alternative asset managers who manage or market funds within the EU comes into force on July 22, 2013. The Alternative Investment Fund Managers Directive (AIFMD) will have a significant impact on U.S. fund managers if they actively fundraise in Europe...

 

Adobe PDFNew SEC Rule Will Require Investment Advisers to Adopt a Code of Ethics
Steven M. Felsenstein; Greenberg Traurig, LLP;
Legal Alert/Article
July 26, 2004, previously published on July 2004
In another action responsive to the ethical issues that have surfaced in the past few years, the U.S. Securities and Exchange Commission has adopted a final rule under the Investment Advisers Act of 1940 requiring each registered investment adviser to adopt a Code of Ethics meeting standards set...

 

Adobe PDFNew NASD Rule 2790 Revises Restrictions on the Purchases and Sales of Initial Public Offerings
Steven M. Felsenstein, Joel S. Telpner, Brenda Chavez; Greenberg Traurig, LLP;
Legal Alert/Article
January 16, 2004, previously published on January 2004
The Securities and Exchange Commission has approved a new rule proposed by the National Association of Securities Dealers, Inc. (the "NASD") that replaces previous restrictions on the purchases and sales of "hot issue" equity securities with a broader prohibition covering...

 

Adobe PDFFor Hedge Funds, One Less Risk to Hedge -- For Now
Steven M. Felsenstein, Joel S. Telpner; Greenberg Traurig, LLP;
Legal Alert/Article
December 6, 2003, previously published on October 2003
For nearly a year the SEC staff has been studying the booming hedge fund industry with an eye towards taming a virtually unregulated investment frontier. Much to the relief of the hedge fund industry, the staff recommendations are far milder than many had predicted.