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A New Federal Exemption from Broker Registration for Qualifying M&A Brokers Became Effective on March 29, 2023 (Prior SEC No-Action Relief Has Been Withdrawn) | Mayer Brown Free Writings + Perspectives

Although the New Federal Exemption Is Generally Aligned with the SEC’s 2014 No-Action Relief, There Are Some Notable Differences. Moreover, State Law Registration Requirements for M&A B.

New federal exemption is generally alignedAction reliefThere are some notableState lawRegistration requirementsBrokers are not

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