David Blass

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  Private equity fund managers as unregistered broker dealers — sanctions and rescission

  By Jay Gould  |  April 18, 2013

  There are a number of ways to become entangled in broker dealer registration requirements that many private equity funds (and some hedge funds) will need to consider.

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  SEC puts hedge fund managers on notice

  By Jay Gould  |  April 8, 2013

  David Blass put hedge fund managers and private equity fund managers on notice that they may be engaged in unregistered (and therefore, unlawful) broker dealer activities as a result of the manner by which hedge fund managers compensate their personnel.

• New regulations: Clear as mud

  By Christine Birkner  |  August 18, 2010

  When the Dodd-Frank Wall Street Reform and Consumer Protection Act was signed into law last month, we ran a poll question on our website asking whether it: ...