SEC No-Action Letter Provides Relief from Broker-Dealer Registration for M&A Brokers
By EsqSocial Corporation 20/02/14
On January 31, 2014, the SEC Division of Trading and Markets issued a no-action letter to Faith Colish and five other lawyers providing relief from broker-dealer registration for M&A Brokers engaged in activities related to the purchase or sale of a...
By: Goodwin Procter LLP