Thomas Devaney

Thomas Devaney

Jones Day

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What About the Kitchen Sink? FSOC Plans Even More in 2024

In Short - The Situation: Over the course of 2023, the Financial Stability Oversight Council ("FSOC") took steps that increase the risk of nonbank financial companies and financial activities being designated as...more

1/4/2024  /  Biden Administration , Federal Reserve , Financial Actvities , Financial Institutions , Financial Services Industry , FSOC , Non-Financial Firms , Public Comment , Regulatory Oversight , Regulatory Requirements

New Law Exempts M&A Brokers from SEC Registration

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

1/23/2023  /  Administrative Exemption , Corporate Sales Transactions , Financial Markets , M&A Brokers , Regulatory Requirements , Securities and Exchange Commission (SEC) , Securities Regulation
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