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HTMLRegistration Requirements Eased for Brokers and Financial Advisors in M&A Transactions
Daniel I. DeWolf, Louis Froelich; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
Legal Alert/Article
March 28, 2014, previously published on March 26, 2014
We are often asked whether a financial advisor or business broker may advise on mergers and acquisitions and similar business combinations of a privately held company in a stock transaction without having to register as a broker-dealer. Until recently, the answer was no, as it would violate the...