Topic: Registration

SEC Tells M&A Brokers: No Registration Required

Late last month, the Securities and Exchange Commission gave M&A brokers a green light to facilitate mergers, acquisitions, and other business sales and combinations without first having registered as “broker-dealers.” Attorneys from Skadden Arps explain: “Prior to the No-Action Letter, although a person who had not registered as a broker-dealer could engage in activities in… Read more »

Regulation A+: Quicker and Cheaper Access to Capital for Smaller Companies

“Regulation A+ … promises to provide a meaningful new tool for private issuers wishing to access the capital markets.” (Randal Jones and Richard Raymer of Dorsey & Whitney) What’s better than an “A”? An “A+,” of course… OK, that’s probably not why the Securities and Exchange Commission recently proposed new rules to Regulation A. But… Read more »