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Mergers Securities and Exchange Commission (SEC) Finders

Perkins Coie

SEC Staff Withdraws 2014 Letter in Response to Federal M&A Broker Exemption

Perkins Coie on

A new development has emerged in the series of changes to the regulation of finders (i.e., persons that receive compensation for making an introduction leading to a securities transaction) and mergers and acquisition brokers...more

Baker Donelson

SEC No-Action Letter Exempts M&A Brokers from Federal Registration Requirements

Baker Donelson on

On February 3, 2013, the Security and Exchange Commission's (SEC) Division of Trading and Markets publically issued a significant no-action letter advising that M&A brokers do not need to register as broker-dealers to...more

Allen Matkins

California Finders Bill Moves To Senate on 73-1 Vote

Allen Matkins on

Yesterday, I wrote about a recent no-action letter issued by the SEC’s Division of Trading and Markets with respect to “M&A Brokers”. Here in California, the legislature is considering a bill, AB 713 (Wagner) that would...more

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