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SEC Staff Withdraws 2014 Letter in Response to Federal M&A Broker Exemption | Perkins Coie

Published: May 2, 2023

A new development has emerged in the series of changes to the regulation of finders (i.e., persons that receive compensation for making an introduction leading to a securities...

Source: jdsupra.com

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Emily Westerberg RussellSecurities ExchangeDivision Of TradingAmerican Securities Administrators AssociationExchange CommissionAction LetterPresident BidenSecurities Exchange ActExchange ActBroker LetterChief CounselAssociate DirectorFaith ColishNo Action WithdrawalConsolidated Appropriations ActRule Exempting Certain MergerAcquisition BrokersFrom RegistrationAdopted September