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New Law Exempts M&A Brokers From SEC Registration - Securities

Included in the Consolidated Appropriations Act, 2023 (H.R. 2617) at page 1080 (the "Act"), signed into law by President Biden on December 29, 2022.

United statesExchange commissionExchange act sectionSecurities exchangeDivision of tradingCongress did not preempt state securities lawsSecurities exchange actConsolidated appropriations actPresident bidenExchange actNew exemptionNew statutoryAction reliefAction letterNo action letterSecurities act

New Law Exempts M&A Brokers from SEC Registration | Jones Day

In Short - The Situation: Congress recently amended the Securities Exchange Act of 1934 (the "Exchange Act") to exempt certain "M&A brokers" from registration as broker-de.

United statesExchange act sectionDivision of tradingCongress did not preempt state securities lawsAmerican securities administrators associationConsolidated appropriations actPresident bidenExchange actNew exemptionNew statutoryAction reliefAction letterSecurities actModel rule

New Law Exempts M&A Brokers from SEC Registration

Congress recently amended the Securities Exchange Act of 1934 (the "Exchange Act") to exempt certain "M&A brokers" from…

United statesExchange commissionExchange act sectionSecurities exchangeDivision of tradingCongress did not preempt state securities lawsAmerican securities administrators associationSecurities exchange actConsolidated appropriations actPresident bidenExchange actNew exemptionNew statutoryAction reliefAction letterSecurities act

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