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Searching Content indexed under M&A/Private Equity by Hillel Cohn ordered by Published Date Descending.
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FINRA Releases Proposed Rule To Reduce The Regulatory Burdens On Boutique Investment Banks
FINRA has filed with the SEC a proposed rule which would reduce the regulatory burden for broker-dealers that limit their activities to M&A and certain corporate financing transactions.
United States
12 Jan 2016
2
FINRA Invites Public Comment On A Modified Regulatory Scheme For Broker-Dealers Specializing In M&A And Corporate Finance
FINRA is seeking public comment on a much needed overhaul of the regulatory requirements for broker-dealers who specialize in M&A and corporate finance.
United States
27 Mar 2014
3
Private Company M&A Brokers Donít Need To Register With The SEC As Broker-Dealers
On January 31, 2014, the SEC issued a ground-breaking no-action letter, taking the position that a financial intermediary that limits its business activity to advising privately held companies in M&A transactions need not register as a broker-dealer.
United States
13 Feb 2014
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