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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Federal M&A Broker Exemption
On January 31, 2014, the SEC Division of Trading and Markets issued a no-action letter in favor of entities effecting securities transactions in connection with the sale of equity control of private operating businesses (“M&A broker”). The SEC stated that it would not require broker-dealer registration for M&A brokers arranging for the sale of privately held businesses. The SEC M&A Broker no action letter specifically excludes transactions involving an Exchange Act reporting public company...
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