Law Blog Category: Broker-Dealer

Florida Broker-Dealer Registration Exemption For M&A Brokers

Following the SEC’s lead, effective July 1, 2016, Florida has passed a statutory exemption from the broker-dealer registration requirements for entities effecting securities transactions in connection with the sale of equity control in private operating businesses (“M&A Broker”). As discussed further below, the new Florida statute, together with the SEC M&A Broker exemption, may have Read the full article…

FINRA Proposes New Category Of Broker-Dealer For “Capital Acquisition Brokers”

Finders- The Facts Related To Broker-Dealer Registration Requirements

SEC Proposes Broadening Of Broker-Dealer Registration Rules To Include Proprietary And High-Frequency Traders

The New FINRA Broker Background Check Rule

March 24, 2015 in Broker-Dealer, FINRA, Uncategorized

SEC Announces Examination Priorities For 2015; Focus On Transfer Agents, Investment Advisers and Broker Dealers

January 20, 2015 in Broker-Dealer, Uncategorized

SEC Sanctions BITCOIN Exchange Operator-A Case Study In Basic Registration And Exemption Requirements

Penny Stock Rules And Broker Dealers

Case Study of Online Funding as Related to Broker-Dealer Exemptions

Exemption to Broker-Dealer Registration Requirements for Officers, Directors and Key Employees

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