{"id":5465,"date":"2013-06-28T00:00:00","date_gmt":"2013-06-28T05:00:00","guid":{"rendered":"https:\/\/institutionalinvestorsecuritiesblog.blawgcloud.com\/2013\/06\/lawmakers_address_securities_b"},"modified":"2022-05-04T14:05:03","modified_gmt":"2022-05-04T19:05:03","slug":"lawmakers-address-securities-b","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/lawmakers-address-securities-b\/","title":{"rendered":"Lawmakers Address Securities Bills Regarding Audit Rotation Requirements, Dodd-Frank, M & A Business Broker Registration, & Senior Fraud"},"content":{"rendered":"

New Bill Pushes to Modify Registration of Certain Brokers Involved in Mergers & Acquisitions<\/strong><\/p>\n

A newly introduced bill in the US House of Representatives is seeking simplified registration with the Securities and Exchange Commission for brokers that facilitate acquisition and mergers for private companies with yearly earnings below $25 million and annual gross revenues of under $250 million. Currently, these brokers have to register as broker-dealers with the SEC and seek FINRA membership, but many of them don\u2019t know about these requirements. The bill would exempt these broker-dealers from<\/p>\n

Having to become a FINRA member, which means they would not be subject to regulation under the SRO. HR 2274 would amend 1934 Securities Exchange Acts Section 15(b). It seeks to lower regulator expenses of sellers and buyers of privately held companies that are smaller and need professional business brokerage services.<\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

New Bill Pushes to Modify Registration of Certain Brokers Involved in Mergers & Acquisitions A newly introduced bill in the US House of Representatives is seeking simplified registration with the Securities and Exchange Commission for brokers that facilitate acquisition and mergers for private companies with yearly earnings below $25 million and annual gross revenues of […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3960,3740],"tags":[],"class_list":["post-5465","post","type-post","status-publish","format-standard","hentry","category-doddfrank-wall-street-reform-a","category-miscellaneous"],"yoast_head":"\nLawmakers Address Securities Bills Regarding Audit Rotation Requirements, Dodd-Frank, M & A Business Broker Registration, & Senior Fraud — Investor Lawyers Blog — June 28, 2013<\/title>\n<meta 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