Andrew Deas

Skadden, Arps, Slate, Meagher & Flom LLP

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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 , Securities Act of 1933 , Securities and Exchange Commission (SEC) , Securities Exchange Act
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