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In Short - The Situation: Congress recently amended the Securities Exchange Act of 1934 (the "Exchange Act") to exempt certain "M&A brokers" from registration as broker-de...
At its January 13, 2023 meeting the California State Bar’s Committee on Professional Responsibility and Conduct (COPRAC) approved a new rule to be…
Congress recently amended the Securities Exchange Act of 1934 (the "Exchange Act") to exempt certain "M&A brokers" from…
As noted in our prior blog post, on 29 December 2022, President Biden signed into law the Consolidated Appropriations Act of 2023 (H.R. 2617). Among the routine federal funding...
Merger and Acquisition brokers must rely on a no action letter published by the SEC in order to engage in the business of effecting M and A securities transactions of privately held companies without registering as a broker with the SEC. Congress passed an exemption.