Keywords: Broker-dealer registration
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Journal Articles

SEC staff expands relief from broker-dealer registration under US Securities Exchange Act for intermediaries in private M&A transactions

Henry Kahn, Robert Welp, Richard Parrino
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2014) 15 (2): 22–25.
https://doi.org/10.1108/JOIC-05-2014-0022
Published: 03 June 2014
...&A brokers in light of USA federal securities laws and previous staff no-action letters that address the application of broker-dealer registration requirements to such intermediaries when they render services in connection with purchases and sales of privately-held companies. Summarizes the manner in which...
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Journal Articles

The extra‐territorial reach of the broker‐dealer registration requirements under the US Securities Exchange Act of 1934: the staff of the Securities and Exchange Commission addresses frequently asked questions regarding Rule 15a‐6 and foreign broker‐dealers

Edward Eisert, Tony Katz, Giovanni Carotenuto, Melanie F. Ball
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2013) 14 (2): 50–56.
https://doi.org/10.1108/JOIC-05-2013-0017
Published: 28 June 2013
... at: eeisert@orrick.com © Authors 2013 United States of America Securities and Exchange Commission Rule 15a‐6 Broker‐dealer registration Foreign broker‐dealer Major US institutional investors Investors Rule 15a‐6 under the Securities Exchange Act of 1934 (“Rule 15a‐6”) provides...
View article titled, The extra‐territorial reach of the broker‐dealer registration requirements under the US Securities Exchange Act of 1934: the staff of the Securities and Exchange Commission addresses frequently asked questions regarding Rule 15a‐6 and foreign broker‐dealers
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