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.

Florida Broker-Dealer Registration Exemption For M&A Brokers
0 (0 Ratings)
Uploaded By: Attorney Laura Anthony
Date Added: December 19, 2016
Description: Florida Broker-Dealer Registration Exemption For M&A Brokers- 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”). Interestingly, the new Florida statute, together with the SEC M&A Broker exemption, may have paved the way for Florida residents to act as an M&A broker in reverse or forward merger transactions involving OTCQX-traded public companies without broker-dealer registration...
0 Comments
Gallery: Public Gallery