M&A Brokers - No Safe Passage Through State Registration Requirements | Publications | Insights

M&A Brokers - No Safe Passage Through State Registration Requirements

Publisher: ABA Business Law Section's Blue Sky Bugle

March 1, 2017

Day Pitney Author(s) Eliza Sporn Fromberg

Eliza Fromberg authored an article, "M&A Brokers - No Safe Passage Through State Registration Requirements" for the ABA Business Law Section's Blue Sky Bugle. In the article, she notes that while the SEC "M&A Brokers No-Action Letter" (issued on January 31, 2014 and revised on February 4, 2014) was "heralded as a sea-change for brokers facilitating private M&A transactions, the lack of a uniform exemption from broker-dealer regulation at the state level has taken the wind out of the sails of many brokers who might otherwise rely on the no-action letter." Fromberg notes that "Given the significant differences among states' treatment of M&A brokers, unlicensed business brokers seeking to rely on the M&A Brokers No-Action Letter are in for a rocky ride for the foreseeable future."

On March 19, Partner Brian Fischer served as a panelist for the Exit Planning Exchange Connecticut (XPX CT): Fairfield and Hartford Chapter joint event, "Fine Print – the Deal's Not Done Until the Paperwork is Finished."

March 19, 2021

Contribution Agreements: Joint Liability and Rights of Contribution Under Loan Guaranties

On July 7, Michael Kaufman will participate as faculty on Strafford's 90-minute Q&A style webinar, "Contribution Agreements: Joint Liability and Rights of Contribution Under Loan Guaranties."

June 30, 2020

Negotiating with Fintechs – Beyond Due Diligence

On February 20, Michael Rave and Michael Dunne spoke at FinXTech R.O.D.E., a conference presented by Autobooks, Bank Director and Microsoft and held at the Advanced Technology Development Center in Atlanta, GA.

February 20, 2020

FinXTech R.O.D.E., Advanced Technology Development Center, Atlanta, GA

When Good Deals Go Bad – Pitfalls to Avoid During the Sale Process

On January 15, Brian Fischer spoke at "When Good Deals Go Bad – Pitfalls to Avoid During the Sale Process," an Exit Planning Exchange (XPX) program held at The Hartford Club in Hartford, CT.

January 15, 2020

Exit Planning Exchange (XPX), The Hartford Club, Hartford, CT

Federal Tax Institute of New England

October 24, 2019

Partners Edward Krzanowski, Tiana Gianopulos and Daniel Gottfried spoke at the 2019 Federal Tax Institute of New England, a CLE program presented by the Estates and Probate Section and the Tax Section of the Connecticut Bar Association and held in Portland, CT.

October 29, 2019

Federal Tax Institute of New England, Portland CT

Silmid Snapped Up By U.S. Distribution Giant

March 17, 2021

Partner David M. Waizer was one of the advisors to Silmid Limited shareholders on the company's acquisition by GracoRoberts, a U.S. aerospace-focused specialty chemicals distribution giant.

Day Pitney Wins “Law Firm of the Year” for Trusts & Estates Law in U.S. News – Best Lawyers “Best Law Firms”

March 11, 2021

Day Pitney Press Release

Day Pitney Elects Four New Partners

January 4, 2021

Day Pitney Press Release

Patricia Jimenez Elected President of Connecticut Hispanic Bar Association

June 26, 2020

Patricia "Paty" Jimenez has been elected President of the Connecticut Hispanic Bar Association (CHBA).

New Executive Order Allows For Remote Annual Meetings During COVID-19 Crisis

May 26, 2020

Lane Watson was featured in the Connecticut Law Tribune article "Goodbye Law Firm Retreats: New Executive Order Allows For Remote Annual Meetings During COVID-19 Crisis."