Law Blog Tag: Broker-Dealer Registration Exemption

Florida Broker-Dealer Registration Exemption For M&A Brokers

October 25, 2016 in Blue Sky Laws, Broker Dealer Registration Requirements, Broker-Dealer, Florida Corporate Statutes, Mergers And Acquisitions, OTC Market, OTC Pink, OTCQB, OTCQX, SEC, Uncategorized

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…