Polsinelli’s asset management and fund sponsor clients frequently turn to Dan Peterson for innovative and practical solutions to the complex problems they often face in a heavily regulated industry. His experience, combined with his business-focused approach, helps clients reach their goals while adhering to the limitations they face.
Dan is experienced in dealing with matters that involve registered open- and closed-end funds, including BDCs, as well as unregistered investment vehicles, their sponsors and advisers. He regularly assists investment advisers and broker-dealers with structuring, registering the adviser and broker-dealer firms, and assisting them with their ongoing regulatory matters, including enforcement. He counsels public company clients on reporting and other obligations under the Exchange Act, the Securities Act, and the Investment Company Act as required by securities exchanges. He also advises mergers and acquisitions and capital-raising participants on a variety of securities issues. In addition, Dan regularly assists start-ups and publicly-held companies in raising capital through public and private offerings.
Dan’s industry engagements include:
- Working with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) to structure and register a special purpose broker-dealer.
- Assisting an issuer in its initial public offering (IPO) to avoid the status of an inadvertent investment company.
- Representing an open-end fund in its sale to another registered fund complex.
Representing businesses in a wide variety of corporate transactions, Dan is experienced in mergers and acquisitions, business formation and structuring, and general corporate matters.