In This Issue:
- IN THE SPOTLIGHT
..Private Equity: The Next Wave of SEC Enforcement Actions?
- LIFE INSURANCE
..How to Fight a STOLI Scheme: Court Rulings Offer Clues
..STOA Schemes Face...more
The SEC recently issued a no-action letter that allows private company M&A brokers who satisfy specific criteria to avoid registering as broker-dealers with the SEC. Historically, an intermediary in a private M&A transaction...more