As many are aware, Congress passed its own version of the US Securities and Exchange Commission (SEC) staff’s mergers and acquisitions (M&A) broker no-action letter in December 2022, creating a new exemption from broker...more
On August 18, 2016, the US Securities and Exchange Commission (SEC) approved a new Financial Industry Regulatory Authority (FINRA) rule series intended as a “lite” framework for the registration and regulation of brokers that...more
9/1/2016
/ Anti-Money Laundering ,
Arbitration ,
Associated Persons ,
Broker-Dealer ,
Capital Acquisition Broker (CAB) ,
Carve Out Provisions ,
Chief Compliance Officers ,
Duties & Responsibilities ,
Financial Industry Regulatory Authority (FINRA) ,
Institutional Investors ,
Net Capital Rule ,
No-Action Letters ,
Private Placements ,
Prohibited Transactions ,
Securities and Exchange Commission (SEC)