News & Analysis as of

M&A Brokers

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

by Jackson Walker on

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

FINRA Relaxes Rules for M&A and Private Placement Brokers

The SEC has approved a series of FINRA rules that are meant to simplify regulation of firms engaged as M&A brokers and those who conduct other limited activities. While the rules may be simpler, it still looks like a...more

Notice of Filing of a Proposed Rule Change To Adopt the Capital Acquisition Broker Rules

The Securities and Exchange Commission is seeking comments on a Financial Industry Regulatory Authority proposal to create a set of rules for FINRA member firms that meet the definition of “capital acquisition broker” (CAB)...more

Corporate and Financial Weekly Digest - Volume XI, Issue 1

SEC/CORPORATE - PCAOB Adopts New Rules Requiring Disclosure of Participants in an Audit - On December 15, 2015, the Public Company Accounting Oversight Board (PCAOB) adopted new rules and related amendments to...more

NASAA M&A Broker Model Rule

On January 15, 2015, the Broker-Dealer Section of the North American Securities Administrators Association (NASAA) requested comments on a proposed uniform state model rule (the Model Rule) regarding the exemption of certain...more

NASAA Proposes Uniform State Model Rule Regarding Merger and Acquisition Brokers

by Cohen & Grigsby, P.C on

The North American Securities Administrators Association (“NASAA’) has proposed a uniform state model rule that would exempt certain merger and acquisition brokers from registration pursuant to state securities laws. The...more

M&A Brokers: Don’t Forget State Laws

by Lane Powell PC on

On January 31, 2014, the Staff of the Securities and Exchange Commission (the “SEC”) granted no-action relief permitting certain business brokers to facilitate the sale of privately-held companies and receive...more

M&A Brokers for Private Companies Need Not Register with the SEC

by Akerman LLP on

The staff of the SEC recently issued a no-action letter permitting an "M&A Broker" to advise on and be compensated in connection with the purchase and sale of a privately held company without registering as a broker-dealer...more

M&A Brokers and Transaction-Based Compensation

by Cohen & Grigsby, P.C on

The Division of Trading and Markets of the Securities and Exchange Commission has issued a no-action letter that will be of interest to persons that act as brokers for merger and acquisition transactions. The letter provides...more

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