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Searching Content indexed under M&A/Private Equity by Jeffrey Clopeck ordered by Published Date Descending.
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Capital Acquisition Brokers: Should You Play By The New Rules?
Just in time for back-to-school season, the SEC has approved FINRA's new rule book for "capital acquisition brokers" (CABs) – firms that are solely engaged in advising companies on mergers and acquisitions, advising issuers on raising debt and equity capital in private placements with institutional investors, or providing strategic and financial advisory services.
United States
1 Sep 2016
2
FINRA Seeks SEC's Approval For "Capital Acquisition Broker" Rules
On December 4, the Financial Industry Regulatory Authority (FINRA) filed with the Securities and Exchange Commission (SEC) a proposed rule change to create a separate rule set (Capital Acquisition Broker Rules) for brokers that are solely corporate financing firms that advise companies on mergers and acquisitions, advise issuers on raising debt and equity capital in private placements with institutional investors, or provide strategic and financial advisory services.
United States
23 Dec 2015
3
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
4
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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