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‘No action letter’: SEC relief for M&A finders

In January, the Securities and Exchange Commission issued a “no action letter” widely and wrongly interpreted as legalizing the role of unregistered broker/dealers as compensated M&A finders. The Securities Exchange Act of 1934 requires that broker/dealers register with the Financial ...

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The SEC whistleblower program: two years later


 This past August marked the second anniversary of the implementation of the Securities and Exchange Commission whistleblower program. At the time of its inception, the whistleblower program attracted attention from the business and legal communities, promising to entice potential whistleblowers ...

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