Summary of the Recent SEC Actions -
On August 8, 2023, in yet another set of enforcement actions in the space, the U.S. Securities and Exchange Commission (the “SEC”) settled charges against ten broker-dealers and a dually...more
Expiration of SEC Staff’s No Action Letters Providing Relief to Broker-Dealers Regarding MiFID II Research Requirements -
On July 3, 2023, the U.S. Securities and Exchange Commission (the “SEC”) let expire a long-standing...more
On December 29, 2022, President Biden signed H.R.2617, the Consolidated Appropriations Act of 2023 (the “Omnibus Bill”), that included a rider in Title V establishing a statutory exemption for certain mergers and acquisitions...more
1/18/2023
/ Acquisitions ,
Biden Administration ,
Broker-Dealer ,
Business Assets ,
Consolidated Appropriations Act (CAA) ,
EBITDA ,
Mergers ,
No-Action Letters ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Exchange Act of 1934 ,
Title V