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.
A new development has emerged in the series of changes to the regulation of finders (i.e., persons that receive compensation for making an introduction leading to a securities.
On March 29, 2023, a new exemption from SEC registration for brokers providing services in mergers and acquisitions (“M&A”) transactions officially went into effect. The exemption,.
SEC Adopts Amendments to Extend Filing Deadline for Form 144 from 5:30 p.m. to 10:00 p.m. On February 21, 2023, the Securities Exchange Commission (the "SEC") adopted.