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    Consistently ranked as one of the top five most active law firms based on number of funds closed for sponsors.
    –Dow Jones Private Equity Analyst (2009-2012)

    Ranked as a leading financial law firm in the U.S. for investment funds; private equity: fund formation.
    – IFLR1000 (2009-2012)

FINRA Identifies Concerns with Marketing of Real Estate Investment Products
Daniel Nathan and Kelley Howes
5/10/2013
Broker-Dealer Compliance + Regulation, Investment Management, Private Equity Funds
Client Alert
Advertising Rules for Private Funds: Performance Enhancements Prohibited
Bloomberg BNA Securities Regulation & Law Report
Kelley Howes and Isabelle Sajous
3/11/2013
Private Equity Funds
Article
Reprinted with permission.
Application of the Self-Employment Tax and 3.8% Net Investment Income Tax to Fund Managers
Robert Cudd and Michelle Jewett
3/6/2013
Federal Tax, Financial Institutions + Financial Services, Investment Management, Private Equity Funds, Private Equity Investments + Buyouts
Client Alert
New Freedoms & Heightened Scrutiny Complicate the US Private Fund Marketing Environment
CorporateLiveWire
2/21/2013
Private Equity Funds
Article
Reprinted with permission.
FINRA Issues Guidance for Private Placement Filings
Nilene Evans, Anna Pinedo, and Hillel Cohn
12/10/2012
Broker-Dealer Compliance + Regulation, Capital Markets, Private Equity Funds, Private Placements + PIPEs
Client Alert
California Adopts New Private Fund Adviser Exemption
Luke Bagley and Stephanie Thomas
9/14/2012
Investment Management, Private Equity Funds
Client Alert
SEC Publishes Responses to Frequently Asked Questions about Reporting by Advisers to Private Funds
Jay Baris
6/22/2012
Financial Institutions + Financial Services, Investment Management, Private Equity Funds
Client Alert
SEC and CFTC Propose Rules to Detect and Prevent Identity Theft
Jay Baris, Anna Pinedo, and Isabelle Sajous
3/7/2012
Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Investment Management, Private Equity Funds, Structured Products
Client Alert
SEC Raises Dollar Thresholds for Advisers to Charge Performance-Based Fees and Grandfathers Performance-Fee Contracts for Previously Unregistered Advisers
Jay Baris, Ken Muller, and Stephanie Thomas
2/21/2012
Broker-Dealer Compliance + Regulation, Investment Management, Private Equity Funds
Client Alert
CFTC Tightens Commodity Pool Operator Exemption for Investment Companies
Jay Baris and Anna Pinedo
2/16/2012
Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Investment Management, Private Equity Funds, Structured Products
Client Alert
FINRA Files Amendments to FINRA Rule 5123 on Private Placements
Gerd Thomsen
1/26/2012
Broker-Dealer Compliance + Regulation, Capital Markets, Private Equity Funds, Private Placements + PIPEs
Client Alert
SEC Clarifies Registration Obligations of Advisory Affiliates
Jay Baris and Stephanie Thomas
1/25/2012
Investment Management, Private Equity Funds
Client Alert
One Down, One to Go: The SEC Completes the First Required Dodd-Frank Act Regulation D Rulemaking
David Lynn
1/18/2012
Capital Markets, Private Equity Funds, Private Placements + PIPEs, Public Companies Counseling + Compliance
Client Alert
PE/VC Partnership Agreements Study 2012-2013 (2nd Ed.)
Thomson Reuters
Ken Muller
January 2012
Emerging Companies + Venture Capital, Private Equity Funds
Article
Roundtable: Outlook for Hedge Funds
Financier Worldwide
January 2012
Financial Institutions + Financial Services, Private Equity Funds
Article
Reprinted with permission.
Form PF: Systemic Risk Reporting for Private Fund Advisers
Jay Baris, Stephanie Thomas, and Luke Bagley
11/15/2011
Investment Management, Private Equity Funds
Client Alert
The Evolution of a Rule: FINRA Proposes Rule 5123 in lieu of Proposed Rule 5122
10/10/2011
Broker-Dealer Compliance + Regulation, Capital Markets, Private Equity Funds, Private Equity Investments + Buyouts, Private Placements + PIPEs
Client Alert
SEC Release Adopts New Rule 13h-1 and Form 13H; Large Trader Reporting
10/6/2011
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Capital Markets, Financial Institutions + Financial Services, Private Equity Funds
Client Alert
The Dodd-Frank Act and Foreign Venture Capitalists
Israel High-Tech Investor
9/2011
Capital Markets, Private Equity Funds, Private Placements + PIPEs
Article
Reprinted with permission.
New Investment Adviser Rules: Part 2
INSIGHTS
Volume 25, Number 9
Ken Muller and Jay Baris
9/2011
Broker-Dealer Compliance + Regulation, Corporate, Financial Institutions + Financial Services, Investment Management, Mergers + Acquisitions, Private Equity Funds
Article
Reprinted with permission.
New Investment Adviser Rules: Part 1
INSIGHTS
Volume 25, Number 8
Ken Muller and Jay Baris
8/1/2011
Investment Management, Private Equity Funds
Article
Reprinted with permission.
SEC Proposes Rules Amending the “Qualified Client” Standard and Issues Final Order Revising Dollar Amount Tests
Ken Muller and Jay Baris
7/28/2011
Investment Management, Private Equity Funds
Client Alert
SEC Implements Advisers Act Provisions of Dodd-Frank; Extends Investment Adviser Registration Deadlines
Jay Baris, Charles Farman, Paul 'Chip' Lion, Ken Muller, Robert Putney, Christopher Russell, Sean Byrne, Isabelle Sajous, and Stephanie Thomas
6/24/2011
Emerging Companies + Venture Capital, Financial Institutions + Financial Services, Investment Management, Private Equity Funds, Private Equity Investments + Buyouts, Securities: Regulatory + Enforcement
Client Alert
Changing Landscapes: A Comparison of the 2011 ILPA Principles with the 2009 ILPA Principles
The Journal of Private Equity, Vol. 14, No. 3
Stephanie Thomas
Summer 2011
Corporate, Investment Management, Private Equity Funds
Article
FINRA to Repropose Rule Addressing Participation of Broker-Dealers in Private Placements
Nilene Evans
4/18/2011
Broker-Dealer Compliance + Regulation, Capital Markets, Financial Institutions + Financial Services, Private Equity Funds, Private Placements + PIPEs, Public Companies Counseling + Compliance
Client Alert
SEC Issues Proposed Rules on Incentive-Based Compensation Practices for Larger Broker-Dealers and Investment Advisers
Hillel Cohn
3/15/2011
Broker-Dealer Compliance + Regulation, Capital Markets, Corporate, Financial Institutions + Financial Services, Private Equity Funds
Client Alert
Investment Adviser Registration for Private Equity Fund Managers
Charles Farman and Stephanie Thomas
3/4/2011
Investment Management, Private Equity Funds
Client Alert
A Revised Net Worth Standard for Accredited Investors
Insights, Volume 25 Number 3
Ken Muller and Sean Byrne
March 2011
Private Equity Funds
Article
Reprinted from Insights March 2011, Volume 25, Number 3, pages 17-21, with permission from Aspen Publishers
Market Solutions, Vol. 20, No. 1
Financial Markets Association
Barbara Mendelson, Marc-Alain Galeazzi, Hillel Cohn, Kenneth Kohler, Anna Pinedo, Melissa Beck, and Jeremy Mandell
3/2011
Banking + Financial Services, Capital Markets, Corporate, Financial Institutions + Financial Services, Private Equity Funds
Article
Reprinted with permission.
SEC Proposes Amendments to Its Net Worth Standard for Accredited Investors
Gerd Thomsen
1/25/2011
Capital Markets, Corporate, Private Equity Funds, Private Placements + PIPEs
Client Alert
ILPA Guidelines: Version 2.0 Offers Greater Flexibility for LPs and GPs
Charles Farman, Ken Muller, and Stephanie Thomas
1/21/2011
Private Equity Funds
Client Alert
Roundtable: Outlook for Hedge Funds
Financier Worldwide
1/2011
Financial Institutions + Financial Services, Private Equity Funds
Article
Reprinted with permission.
SEC Implements Advisers Act Provisions of Dodd-Frank Act
Insights, Volume 25, Number 1
Ken Muller
1/2011
Investment Management, Private Equity Funds
Article
Give Risk a Chance: Venture Capital Funds
11/29/2010
Broker-Dealer Compliance + Regulation, Capital Markets, Financial Institutions + Financial Services, Investment Management, Private Equity Funds
Client Alert
The New EU Directive on AIFMs
Peter Green and Jeremy Jennings-Mares
11/17/2010
Banking + Financial Services, Capital Markets, Corporate, Financial Institutions | Europe, Financial Institutions + Financial Services, Investment Management, Private Equity Funds, Securities Offerings | Europe
Client Alert
California Assembly Bill No. 1743 Amends California "Pay to Play" Laws: A Detailed Summary
BNA Securities Regulation & Law Report
Ken Muller
11/1/2010
Broker-Dealer Compliance + Regulation, Investment Management, Private Equity Funds
Article
Assessing the Impact of Proposed California Assembly Bill No. 1743 on "Pay to Play"
Bloomberg Law Reports: Securities Law
Vol. 4, Issue #40
Ken Muller
10/4/2010
Broker-Dealer Compliance + Regulation, Investment Management, Private Equity Funds
Article
Reprinted with permission: 2010. Bloomberg Law Reports® is a registered trademark and service mark of Bloomberg Finance L.P.
Small Business Jobs Act of 2010 – Key Tax Incentive Provisions
Stephen Feldman, Robert Cudd, and Joy MacIntyre
9/28/2010
Federal Tax, Private Equity Funds
Client Alert
IRS Issues Proposed Rules Regarding Series LLCs and Cell Companies
Stephen Feldman and Robert Cudd
9/15/2010
Federal Tax, Private Equity Funds
Client Alert
Changes in Registration and Reporting Requirements for Private Funds under the Investment Advisers Act of 1940 in the Dodd-Frank Act
Ken Muller, Charles Farman, and Paul 'Chip' Lion
7/19/2010
Broker-Dealer Compliance + Regulation, Capital Markets, Financial Institutions + Financial Services, Investment Management, Private Equity Funds
Client Alert
Pending New York State Proposal to Tax Nonresidents on “Carried” Interests
Irwin Slomka and Ken Muller
7/2/2010
Investment Management, Private Equity Funds, State + Local Tax
Client Alert
An Examination of the Private Equity Proposals in the Senate Reform Bill
Securities Regulation & Law
Ken Muller
6/14/2010
Private Equity Funds, Private Equity Investments + Buyouts
Article
Reproduced with permission from Securities Regulation & Law Report
Custody & Protection:
SEC’s Custody Rule Amendments and Implications for Registered Private Fund Advisers
Bloomberg Law Reports, Vol. 4, No. 9
Ken Muller
5/3/2010
Broker-Dealer Compliance + Regulation, Private Equity Funds, Private Equity Investments + Buyouts
Article
Investment Advisers
Investor Protection Act of 2009
Bloomberg Law Reports, Vol. 3, No. 35
and Addison Braendel
8/31/2009
Private Equity Funds, Private Equity Investments + Buyouts
Article
Fund Economics: Nine Issues to Look Out for in Closed-End Private Equity Real Estate Fund Documents
PREA Quarterly
and Addison Braendel
Fall 2009
Broker-Dealer Compliance + Regulation, Private Equity Funds, Private Equity Investments + Buyouts
Article
Reprinted with permission
Obama Administration Tax Proposal - Relevant Provisions for Private Equity and Other Investment Funds
Robert Cudd
5/19/2009
Banking + Financial Services, Corporate, Federal Tax Controversy, Private Equity Funds, Private Equity Investments + Buyouts
Client Alert
Why the SEC (and Congress) Should Recognize the 3(c)(1) Plus Exemption
Securities Regulation Law Journal,
Vol. 37, No. 1
Addison Braendel, and Martin Rosenberg
Spring 2009
Private Equity Funds, Private Equity Investments + Buyouts
Article
Copyright 2009 by Thomson Reuters. All rights reserved. Reprinted by permission of Thomson Reuters/West from Securities Regulation Law Journal
Connecticut Lawmakers Modify Proposed Legislation Regulating Private Funds
Ken Muller
4/17/2009
Banking + Financial Services, Corporate, Private Equity Funds, Private Equity Investments + Buyouts
Client Alert
Open Issues in the Hedge Fund Transparency Act
Bloomberg Law Reports, Vol. 3, No. 12
and Addison Braendel
April 2009
Private Equity Funds, Private Equity Investments + Buyouts
Article
Connecticut-Based Private Funds Continue to Face Increased Regulation
Ken Muller
3/19/2009
Banking + Financial Services, Corporate, Emerging Companies + Venture Capital, Private Equity Funds, Private Equity Investments + Buyouts
Client Alert
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