Released on: Oct. 10, 2013
Taken from the briefing Private Fund Sales and Marketing: A Conversation with Senior Staff from the SEC Division of Trading and Markets recorded September, 2013.
David Blass, Chief Counsel of the SEC’s Division of Trading and Markets at the SEC, gave a speech in April 2013 before a group of lawyers at the American Bar Association about potential broker-dealer issues that may arise when private funds use internal marketing and sales teams or external ...