John Walsh

John Walsh

Eversheds Sutherland (US) LLP

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M&A Brokers Exempt from SEC Broker-Dealer Registration Requirements

On January 31, 2014, the U.S. Securities and Exchange Commission’s (SEC) Division of Trading and Markets issued a No-Action Letter (Letter)1 that allows a private business broker (M&A Broker) to receive transaction-based...more

2/10/2014  /  Broker-Dealer , No-Action Letters , Registration , Securities and Exchange Commission (SEC) , Securities Exchange Act
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