Effective March 29, 2023, certain small business brokers will be exempted from registering with the Securities and Exchange Commission (the SEC). The new law was signed into effect on December 29, 2022, as part of the...more
2/24/2023
/ Broker-Dealer ,
Brokers ,
Consolidated Appropriations Act (CAA) ,
Corporate Sales Transactions ,
Exemptions ,
Investment Management ,
New Legislation ,
No-Action Letters ,
Registration Requirement ,
Regulatory Reform ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Securities Regulation ,
Small Business