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VC Law: Episode 5: Broker-Dealer issues with David Blass episode artwork

EPISODE · Aug 24, 2022 · 32 MIN

VC Law: Episode 5: Broker-Dealer issues with David Blass

from To the Extent That... · host ABA Business Law Section

Host Gary J. Ross discusses broker-dealer issues with David Blass, partner in Simpson Thacher’s Investment Funds Practice and the former Chief Counsel of the SEC’s Division of Trading and Markets. Gary and David chat about the outsize role that transaction-based compensation plays in determining whether someone is functioning as a broker, the Paul Anka and M&A broker no-action letters, the process of registering as a broker, and finally, whether David sees himself ever going back into public service.

What this episode covers

Host Gary J. Ross discusses broker-dealer issues with David Blass, partner in Simpson Thacher’s Investment Funds Practice and the former Chief Counsel of the SEC’s Division of Trading and Markets. Gary and David chat about the outsize role that transaction-based compensation plays in determining whether someone is functioning as a broker, the Paul Anka and M&A broker no-action letters, the process of registering as a broker, and finally, whether David sees himself ever going back into public service.

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VC Law: Episode 5: Broker-Dealer issues with David Blass

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This episode is 32 minutes long.

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This episode was published on August 24, 2022.

What is this episode about?

Host Gary J. Ross discusses broker-dealer issues with David Blass, partner in Simpson Thacher’s Investment Funds Practice and the former Chief Counsel of the SEC’s Division of Trading and Markets. Gary and David chat about the outsize role that...

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