Podcasts

    Laura Anthony

Loading...
    • Member Type(s): Expert
    • Title:Founding Partner
    • Organization:Legal & Compliance, LLC
    • Area of Expertise:Securities Law
    •  

    To become a ProfNet premium member and receive requests from reporters looking for expert sources, click here.

M&A Broker- Dealer Requirements
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”). Like the federal rule, the Florida M&A broker exemption sets forth certain limitations and restrictions related to the exemption...
Categories:
Player Loading...
0 (0 Ratings)
Comments