Adam Gale

Adam Gale

Mintz Levin

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FINRA Provides Guidance on the Applicability of the Suitability Rule to Broker-Dealers Marketing Private Placements in the EB-5...

In an interpretive letter to a broker-dealer dated August 26, 2013, FINRA (Financial Industry Regulatory Authority) interpreted the suitability requirements under Rule 2111 for recommendations to foreign nationals making...more

9/17/2013 - Broker-Dealer EB-5 FINRA Foreign Investment Suitability Rule Visas

PE Funds May Be Liable For Portfolio Company Pension Liabilities

Introduction - A recent decision by the U.S. Court of Appeals for the First Circuit increases the risk that a private equity fund could be liable for its portfolio company’s unfunded pension liabilities. Additionally,...more

8/15/2013 - Employee Benefits Employer Liability Issues ERISA Investment Portfolios Pensions Private Equity Retirement Plan

SEC Lifts Advertising Ban on Private Offerings: What It Means for Private Equity, Hedge and Venture Capital Funds

On July 10, the SEC adopted a new rule that will permit many private equity funds, hedge funds and venture capital funds to use general advertising and solicitation when offering and selling interests in a fund (the “New...more

7/15/2013 - Advertising General Solicitation Hedge Funds JOBS Act Private Equity Private Placements Regulation D SEC Venture Capital

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