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"SEC Provides No-Action Relief to M&A Brokers in Connection With Broker-Dealer Registration Requirements"

On January 31, 2014, the Division of Trading and Markets (the “Division”) of the Securities and Exchange Commission (the “SEC”) issued a no-action letter (as revised on February 4, 2014, the “No-Action Letter”) that permits...more

2/19/2014 - Broker-Dealer Compliance No-Action Letters Registration SEC Securities Act of 1933 Securities Exchange Act

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