Please take a look at our new alert on the recently enacted M&A BD Exemption. Ernest E. Badway – The ‘New’ M&A Broker-Dealer Exemption (foxrothschild.com).
Continue Reading The ‘New’ M&A Broker-Dealer Exemption Alert
Here is our updated “Who Does What…. ” publication. Ernest E. Badway – Who Does What: Broker Dealers | Registered Investment Advisers | Commodities/Futures Entities – Updated 2023 (foxrothschild.com)
Continue Reading Updated 2023– Who Does What: Broker Dealers | Registered Investment Advisers | Commodities/Futures Entities![-incompetence-14220[1]](https://securitiescompliancesentinel.foxrothschild.com/wp-content/uploads/sites/123/2020/04/incompetence-142201.jpg)
In a stark 3-2 vote along political lines, the SEC announced today that it was proposing new rules relating to finders. Essentially, if the proposed rules are, ultimately, approved, the
Continue Reading SEC Moves in a Very Different Direction on Finders