In a continuation of recent court decisions overturning the rulemaking authority of federal agencies, a recent decision by the U.S. Court of Appeals for the Fifth Circuit vacated the Securities and Exchange Commission’s (SEC)...more
7/17/2024
/ Compliance ,
Disclosure Requirements ,
Final Rules ,
Fund Managers ,
Investment ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Management ,
Investors ,
Private Funds ,
Registered Investment Advisors ,
Regulatory Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Transparency
On March 29, 2023, a new exemption from SEC registration for brokers providing services in mergers and acquisitions (“M&A”) transactions officially went into effect. The exemption, outlined in Section 501 of the Consolidated...more
4/10/2023
/ Acquisitions ,
Broker-Dealer ,
Brokers ,
Buyers ,
Change in Ownership ,
Consolidated Appropriations Act (CAA) ,
EBITDA ,
Exemptions ,
Mergers ,
NASAA ,
No-Action Letters ,
Privately Held Corporations ,
Registration ,
Registration Requirement ,
Section 501 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Sellers