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What Flavor Are Your PE Fund Marketing Activities?

Law360, New York (April 17, 2013, 2:22 PM EDT) -- David Blass, the chief counsel in the Division of Trading and Markets at the U.S. Securities and Exchange Commission, spoke on Friday, April 5, to the American Bar Association, Business Law Section, Trading and Markets Subcommittee. Blass addressed several areas on which the staff has focused in considering the circumstances in which a person is required to register as a broker-dealer. The majority of Blass's comments, which were published on the SEC's website later that day, related to questions of when a private fund, its adviser and personnel need to consider whether broker-dealer registration is required....

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