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Broker-Dealer › Interstate Commerce

Farrell Fritz, P.C.

Do Private Company M&A Intermediaries Need to Register with the SEC as Broker-Dealers?

Farrell Fritz, P.C. on

Since 2014, many private company mergers and acquisitions intermediaries have chosen not to register as broker-dealers. That’s because a 2014 SEC no-action letter took the position that intermediaries that limited their...more

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