Hillel Cohn

Hillel Cohn

Morrison & Foerster LLP

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SEC Withdraws M&A Brokers No-Action Letter, Forcing Financial Advisers to Larger Private Companies to Register as Broker-Dealers

Nearly a decade ago, the SEC Staff issued a no-action letter that enabled investment bankers who limit their services to M&A transactions involving private companies to avoid broker-dealer registration with the SEC. The M&A...more

5/8/2023  /  Broker-Dealer , Consolidated Appropriations Act (CAA) , Financial Adviser , No-Action Letters , Registration Requirement , Securities and Exchange Commission (SEC) , Securities Exchange Act
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