The Chief Counsel of the SEC’s Division of Trading and Markets recently issued an important no-enforcement letter regarding the status of a person engaged in effecting transactions in connection with the transfer of ownership...more
2/19/2014
/ Broker-Dealer ,
Brokers ,
Finders ,
Gramm-Leach-Blilely Act ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
No-Action Letters ,
Privately Held Corporations ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Transaction-Based Compensation