Navigating Federal and State-level M&A Broker Regulations
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When:
Starts: EDT
Join our expert panel as we explore key M&A Broker regulations:
• Federal law exempts M&A Brokers from federal broker-dealer registration for qualifying securities transactions but not from other applicable securities regulations.
• Federal exemptions do not override state securities laws; 22 states offer M&A-specific exemptions, while others may have limited exemptions.
• State business brokerage and real estate licensing laws in 17 states still apply, with overlapping jurisdiction possible.
• Failure to meet registration or licensing requirements