Cale McDowell

Cale McDowell

Jackson Walker

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SEC Issues No-Action Letter Regarding Treatment of Certain Unregistered M&A Broker-Dealers

The staff of the Securities and Exchange Commission's Division of Trading and Markets (the "Staff") recently issued a no–action letter (the "Letter")1 that provides significant new guidance with respect to the involvement of...more

4/30/2014 - Broker-Dealer No-Action Letters SEC Transaction-Based Compensation

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