Private Company M&A Brokers Relief from SEC Registration

01/13/2015 12:00 p.m. - 01:00 p.m. EST

Banking + Financial Services, Corporate Finance | Capital Markets, Investment Management, and Financial Institutions + Financial Services

Hillel T. Cohn

Hillel T. Cohn


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Harrison Lawrence
(212) 336-4004

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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:

  • Legislative proposals;
  • The January 31, 2014 No-Action letter;
  • Qualifications for relief; and
  • Covered conduct and limitations of relief.

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