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Acquisitions Brokers

White & Case LLP

Sector trends - September 2023: Brokers/Corporate Finance

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Pan-European banks, including Mediobanca and Deutsche Bank, seek senior dealmaker bench strength through high profile acquisitions....more

Fox Rothschild LLP

The 'New' M&A Broker-Dealer Exemption

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The bane of every start-up company is the never-ending quest to raise capital for its operations. Newly (and not so new) formed companies seemingly would do anything to raise funds. Over the course of many decades, these...more

Perkins Coie

SEC Staff Withdraws 2014 Letter in Response to Federal M&A Broker Exemption

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A new development has emerged in the series of changes to the regulation of finders (i.e., persons that receive compensation for making an introduction leading to a securities transaction) and mergers and acquisition brokers...more

Foley & Lardner LLP

5 Tips For Filing Gov't Notices After Insurance Producer M&A

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Each state Department of Insurance requires that insurance producers — brokers and agents — keep their information up to date in the DOI's records by timely notifying the DOI of any changes to the producer's information,...more

DarrowEverett LLP

New M&A Broker Exemption: To Be Or Not To Be, That Is The Question

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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

Neal, Gerber & Eisenberg LLP

Client Alert: M&A Broker Exemption Takes Effect

A new law exempting certain “M&A brokers” from having to register with the SEC took effect on March 29.  This will enable many boutique “investment banks” which only engage in transactions with eligible privately held...more

Goodwin

New Federal M&A Broker Exemption is a Big Deal!

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On December 29, 2022, President Biden signed H.R.2617, codifying a federal exemption from SEC registration for small business M&A brokers as new Exchange Act Section 15(b)(13). Limitations exist, as does the requirement to...more

K&L Gates LLP

Progress for M&A Brokers: Congress Passes New Exemption from Securities Broker Registration

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As noted in our prior blog post, on 29 December 2022, President Biden signed into law the Consolidated Appropriations Act of 2023 (H.R. 2617). Among the routine federal funding provisions, the bill included a holiday surprise...more

Dunlap Bennett & Ludwig PLLC

Mergers And Acquisitions: What Are The Steps In The Sale Of A Small Or Medium-Sized Business?

If you are a business owner contemplating the sale of your business, or an individual considering entrepreneurship through acquisition, you may be wondering “what are the steps in a purchase and sale of a business?”...more

White & Case LLP

Financial institutions M&A: Brokers/Corporate Finance

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Financial institutions M&A sector trends: brokers/corporate finance — H1 2021 and outlook for H2 2021 - Financial advisers turn to M&A to deliver additional bandwidth, capability and resources to ride the post-lockdown M&A...more

White & Case LLP

Financial institutions M&A: Sector trends - July 2020: Brokers/Corporate Finance

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Financial Institutions M&A sector trends: Brokers/corporate finance — H1 2020 and outlook for H2 2020. Thinning of the herd continues as "traditional" brokers struggle to remain profitable amidst encroachment by Bulge...more

White & Case LLP

Financial institutions M&A: Sector trends - February 2020: Brokers/Corporate Finance

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Financial institutions M&A sector trends: brokers/corporate finance — H2 2019 and outlook for 2020. Household names turn to M&A as market disruption from fintechs offering commission-free trading continues. Overview - ...more

Holland & Hart - The Benefits Dial

I Want to Know, Have You Ever Seen…your plan documents?

Owners and employees of smaller organizations often find themselves stretched in many directions. With all of the demands on one’s time associated with operating a business, it is not uncommon to see attention to the...more

White & Case LLP

Financial Institutions M&A: Sector trends - June 2019: Brokers/Trading service providers

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Financial institutions M&A sector trends: brokers/trading service providers — H1 2019 and outlook for H2 2019. CURRENT MARKET - Consistent, high activity levels...more

Jackson Walker

New FINRA Capital Acquisition Broker Rules May Offer Limited Relief to Private Investment Fund Advisers

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The U.S. Securities and Exchange Commission (“SEC”) recently approved a Financial Industry Regulatory Authority (“FINRA”) proposal to adopt a new regime for the regulation of electing broker-dealer firms that meet the...more

Adler Pollock & Sheehan P.C.

Glossary of Important Securities Regulation Terms and Definitions

This Glossary is designed to provide law students taking Securities Regulation with a tool that will assist them in learning the basic language of securities law and achieve a working knowledge of the fundamental principles...more

Baker Donelson

SEC No-Action Letter Exempts M&A Brokers from Federal Registration Requirements

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On February 3, 2013, the Security and Exchange Commission's (SEC) Division of Trading and Markets publically issued a significant no-action letter advising that M&A brokers do not need to register as broker-dealers to...more

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