Podcasts

    Laura Anthony

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    • Member Type(s): Expert
    • Title:Founding Partner
    • Organization:Legal & Compliance, LLC
    • Area of Expertise:Securities Law
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Florida Broker-Dealer Registration Exemptions
Following the SEC’s lead, effective July 1, 2016, Florida passed a statutory exemption from the broker-dealer registration requirements for entities effecting securities transactions in connection with the sale of equity control of private operating businesses (“M&A Broker”). A plain reading of the federal and Florida broker dealer exemptions for M&A Brokers would allow a non-registered broker to perform services and collect a fee for a reverse or forward merger transactions with a non-shell company that is either completely private or that is an alternatively reporting OTC Pink or OTCQX traded company...
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