Finn Dixon & Herling LLP

For the eleventh consecutive year, Finn Dixon & Herling is ranked in Chambers and Partners' top tier. We continue to be the only firm designated by Chambers to its top tier, “Band 1”, for Corporate/M&A law firms in Connecticut.
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      In order for firms to maintain active registrations and/or notice filing status with jurisdictions and/or states, they must pay applicable renewal fees annually. The FINRA renewal program facilitates the registration renewal process for investment advisers, broker-dealers and their agents with participating regulators, and simplifies the process by providing for the payment of one amount to FINRA (which administers the IARD and Web CRD systems). Failure to pay renewal fees in time may result in deregistration of a firm and/or its representatives, and termination of applicable notice filings. See the full bulletin for certain key dates and events.

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    • Financial Crimes Enforcement Network Proposes Anti-Money Laundering Rules for Registered Investment Advisers
      On September 1, 2015, the Financial Crimes Enforcement Network (“FinCEN”) published a notice of proposed rulemaking in the Federal Register (the “Proposed Rules”) that would require federally registered investment advisers (“RIAs”) to establish and maintain anti-money laundering (“AML”) programs and report suspicious activity to FinCEN pursuant to the Bank Secrecy Act (the “BSA”).

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    • FDH Tax Team Authors Connecticut Bar Association Comments to IRS Proposed Management Fee Waiver Regulations

      The FDH Tax department (Michael Spiro, Brett Dixon and Jordan Fieldstein) has authored a letter to the US Department of the Treasury on behalf of the Connecticut Bar Association (“CBA”) commenting on proposed tax regulations aimed at curbing the utilization of “management fee waivers” by private equity funds (the “Proposed Regulations”).  The CBA comments recommend that the Proposed Regulations be substantially narrowed so as to relate to only those arrangements where a purported equity interest issued to a fund manager lacks significant risk of loss or opportunity for gain.  A copy of the comment can be found here.

    • Michael P. Spiro to speak at 2015 Federal Tax Institute of New England

      Michael P. Spiro will be speaking at the 2015 Federal Tax Institute of New England on October 30, 2015 at Saint Clements Castle in Portland, CT.  Mr. Spiro will be a panelist on the topic of “Structuring Partner Equity Compensation.”  Event details can be found at


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