01/13/2015 12:00 p.m. - 01:00 p.m. EST
Banking + Financial Services, Capital Markets, Investment Management, and Financial Institutions + Financial Services
Hillel T. Cohn
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The regulatory regime developed for broker-dealers is designed for full-service retail brokers and investment banks engaged in a broad array of capital markets activity. Many of the regulatory requirements are of little or no relevance to M&A boutiques. Until this year, all broker-dealers were required to comply with the same set of regulatory requirements.
Join Partner Hillel Cohn for our discussion on Private Company M&A Brokers Relief from SEC Registration, where we will examine:
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