Michael Austin

Michael Austin

Jones Day

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New Law Exempts M&A Brokers from SEC Registration

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-dealers with the U.S. Securities and Exchange...more

1/23/2023  /  Administrative Exemption , Corporate Sales Transactions , Financial Markets , M&A Brokers , Regulatory Requirements , Securities and Exchange Commission (SEC) , Securities Regulation
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