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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
...Henry Kahn; Robert Welp; Richard Parrino Purpose – To review the M&A Brokers “no-action” letter issued in February 2014 by the staff of the USA Securities and Exchange Commission that clarifies the circumstances in which intermediaries (M&A brokers) may receive transaction-based...
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