Scott McGinness

Scott McGinness

Miller & Martin PLLC

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Registration Exemption for Merger and Acquisition Brokers

Section 15(a) of the Securities Exchange Act of 1934 (the “Exchange Act”) requires registration with the Securities and Exchange Commission (the “SEC”) of securities brokers, which is defined as “any person engaged in the...more

1/31/2023  /  Acquisitions , Broker-Dealer , Consolidated Appropriations Act (CAA) , Financial Industry Regulatory Authority (FINRA) , Mergers , NASAA , Securities and Exchange Commission (SEC) , Securities Exchange Act of 1934
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