Laura Anthony

    • Member Type(s): Expert
    • Title:Founding Partner
    • Organization:Anthony L.G., PLLC
    • Area of Expertise:Securities Law

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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...
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