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M&A Brokers Registration

Amundsen Davis LLC

Patience is a Virtue: Landmark Federal M&A Broker Exemption Effective March 29, 2023

Amundsen Davis LLC on

Business brokers and intermediaries who are active in the lower end of the M&A middle market have been lobbying Congress for 10 years to enact a limited exemption from broker registration under the Securities Exchange Act of...more

Stinson - Corporate & Securities Law Blog

U.S. House of Representatives Acts To Codify Registration Exemption for M&A Brokers

On December 7, 2017, the U.S. House of Representatives passed the “Small Business Mergers, Acquisitions, Sales and Brokerage Simplification Act of 2017 (H.R. 477).” The bipartisan bill passed the House by a vote of 426-0....more

Akerman LLP

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

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

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