SEC staff expands relief from broker-dealer registration under US Securities Exchange Act for intermediaries in private M&A transactions
Henry Kahn, Robert Welp and Richard Parrino
Year of publication: |
2014
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Authors: | Kahn, Henry ; Welp, Robert ; Parrino, Richard |
Published in: |
The journal of investment compliance. - Bingley : Emerald, ISSN 1528-5812, ZDB-ID 2278191-2. - Vol. 15.2014, 2, p. 22-25
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Subject: | USA | Securities and Exchange Commission | Broker-dealer registration | M&A Brokers | Securities Exchange Act of 1934 | Securities regulation | United States | Kapitalmarktrecht | Financial markets law | Börse | Bourse | Finanzmarktaufsicht | Financial supervision | Finanzmarktregulierung | Financial market regulation | Wertpapierhandel | Securities trading | Wertpapierrecht | Securities law |
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