The Securities and Exchange Commission (the "SEC" or "Commission") has adopted new rules that further define the phrase "part of a regular business" for purposes of determining whether a person is a "dealer" or "government...more
2/28/2024
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Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
New Rules ,
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Securities and Exchange Commission (SEC) ,
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Securities Exchange Act ,
Securities Exchange Act of 1934 ,
Securities Regulation ,
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Securities Transactions
This 2023 U.S. Real Estate Round-Up provides key insights to commercial and residential building owners facing a flock of new state environmental, social, and governance ("ESG") laws proposed or taken effect in 2023,...more
In Short -
The Situation: Congress recently amended the Securities Exchange Act of 1934 (the "Exchange Act") to exempt certain "M&A brokers" from registration as broker-dealers with the U.S. Securities and Exchange...more