broker

SEC ponders whether sponsors are broker-dealers

In April of last year, David Blass, chief counsel for the Division of Trading and Markets at the U.S. Securities and Exchange Commission, gave a speech in which he warned that private equity funds might be required to register as broker-dealers in connection with their fundraising activities as well as charging transaction-related fees from their portfolio companies.

Duane Morris Launches Silicon Valley Office

Duane Morris, a global law firm with more than 700 attorneys, has opened an office in Palo Alto, Calif. Intellectual property litigator Karineh Khachatourian, who joins Duane Morris from K&L Gates, will be managing partner of the new office.

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