Search Results - subject:"M&A Brokers"

SEC staff expands relief from broker-dealer registration under US Securities Exchange Act for intermediaries in private M&A transactions

Kahn, Henry; Welp, Robert; Parrino, Richard - In: The journal of investment compliance 15 (2014) 2, pp. 22-25

Persistent link: https://www.econbiz.de/10010396205

SEC staff expands relief from broker-dealer registration under US Securities Exchange Act for intermediaries in private M&A transactions

Kahn, Henry; Welp, Robert; Parrino, Richard - In: Journal of Investment Compliance 15 (2014) 2, pp. 22-25

Purpose – To review the M&A Brokers “no-action” letter issued in February 2014 by the staff of the USA Securities and … Exchange Commission that clarifies the circumstances in which intermediaries (M&A brokers) may receive transaction … staff interpretative guidance on activities of M&A brokers in light of USA federal securities laws and previous staff no …

Persistent link: https://www.econbiz.de/10014893748