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Searching Content indexed under Finance and Banking by Jeffrey Clopeck ordered by Published Date Descending.
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SEC Grants Relief To M&A Brokers From Broker-Dealer Registration
In a no-action letter dated January 31 and revised on February 4 (the "M&A Brokers Letter"), the Securities and Exchange Commission (SEC) Division of Trading and Markets permitted business brokers to facilitate mergers, acquisitions, business sales and business combinations ...
United States
10 Feb 2014
2
SEC Makes Fundamental Changes To Private Capital-Raising Rules
The Securities and Exchange Commission recently approved final rules eliminating the decades-old prohibition against general solicitation and general advertising in all Rule 144A offerings and certain Regulation D transactions, as required by Title II of the JOBS Act.
United States
19 Jul 2013
3
Updated SEC Guidance On The Family Office Exclusion
Family offices are entities established by wealthy families to manage their wealth, plan for their families' financial future, engage in investment opportunities and provide other services to family members.
United States
18 Apr 2012
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