Searching Content indexed under M&A/Private Equity by Day Pitney LLP ordered by Published Date Descending.
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Fitbit To Acquire Twine Health
Consumer wearables manufacturer Fitbit announced on February 13 that it is acquiring Twine Health, a "health activation platform" used by employers to manage their workforces' health at the population level.
United States
16 Feb 2018
Capital Acquisition Brokers: Should You Play By The New Rules?
Just in time for back-to-school season, the SEC has approved FINRA's new rule book for "capital acquisition brokers" (CABs) – firms that are solely engaged in advising companies on mergers and acquisitions, advising issuers on raising debt and equity capital in private placements with institutional investors, or providing strategic and financial advisory services.
United States
1 Sep 2016
Regulated Crowdfunding Is Here
It's Day One of the brave new world of equity crowdfunding ("regulation crowdfunding" to use the SEC's parlance). The final rules promulgated by the SEC six months ago became effective today.
United States
17 May 2016
FINRA Seeks SEC's Approval For "Capital Acquisition Broker" Rules
On December 4, the Financial Industry Regulatory Authority (FINRA) filed with the Securities and Exchange Commission (SEC) a proposed rule change to create a separate rule set (Capital Acquisition Broker Rules) for brokers that are solely corporate financing firms that advise companies on mergers and acquisitions, advise issuers on raising debt and equity capital in private placements with institutional investors, or provide strategic and financial advisory services.
United States
23 Dec 2015
SEC Grants Relief To M&A Brokers From Broker-Dealer Registration
In a no-action letter dated January 31 and revised on February 4 (the "M&A Brokers Letter"), the Securities and Exchange Commission (SEC) Division of Trading and Markets permitted business brokers to facilitate mergers, acquisitions, business sales and business combinations ...
United States
10 Feb 2014
So You Want To Be A Crowdfunding Portal? Top 10 Traps For The Unwary
Kevin Loughrin was prosecuted for stealing and altering checks, using them to purchase items at retail stores, and then returning the items to the stores for cash.
United States
13 Jan 2014
Secretary Of The State Issues Guidelines On Connecticut Model Entity Transactions Act, Effective January 1, 2014
The Connecticut Secretary of the State has issued guidance on filings under the Model Entity Transactions Act (META), which takes effect on January 1, 2014. META will allow cross-entity mergers, consolidations and equity-interest exchanges as well as redomestication in Connecticut.
United States
30 Dec 2013
Mergers Of Nonprofit Organizations
Over the past few years an increasing number of nonprofit organizations have considered the possibility of merging with another nonprofit organization.
United States
16 Jun 2013
Increased SEC Focus on Broker-Dealer Registration Issues for Private Fund Managers
The Securities and Exchange Commission (SEC) is cracking down on private fund [1] managers for not using registered broker-dealers for fundraising.
United States
13 Apr 2013
The SEC's National Examination Program Identifies Significant Deficiencies Involving Adviser Custody And Safety Of Client Assets
On March 4, the Office of Compliance Inspections and Examinations of the U.S. Securities and Exchange Commission ("SEC") issued a Risk Alert on investment adviser custody and related matters.
United States
17 Mar 2013
Updated SEC Guidance On The Family Office Exclusion
Family offices are entities established by wealthy families to manage their wealth, plan for their families' financial future, engage in investment opportunities and provide other services to family members.
United States
18 Apr 2012
Connecticut Adopts The Model Entity Transactions Act
Cross-entity mergers will be permitted in Connecticut pursuant to a "junction box" statute adopted by the Connecticut General Assembly on the last night of its session and signed by Governor Malloy on July 13.
United States
21 Jul 2011
SEC Adopts Rules Implementing Dodd-Frank Investment Adviser Registration And Exemption Requirements
The Securities and Exchange Commission ("SEC") recently issued final rules and rule amendments implementing certain provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank") that amend the Investment Advisers Act of 1940, as amended ("Advisers Act").
United States
13 Jul 2011
Asset Purchases In The 3rd Circuit: Einhorn Precedent And Successor Liability
In a recent 3rd Circuit decision,[1] the court held that an asset purchaser may be liable for a seller's delinquent employee benefit fund contributions where (1) the purchaser had notice of the liability prior to the sale and (2) there exists sufficient continuity of operations between the purchaser and the seller.
United States
10 Feb 2011
Dodd-Frank Act Impact on Investment Advisers and Private Investment Funds
On July 21, 2010, the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act") was signed into law by the president. Title IV of the Dodd-Frank Act, "Regulation of Advisers to Hedge Funds and Others," contains provisions that significantly change the registration requirements and regulation of investment advisers.
United States
26 Jul 2010
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