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AM&AA Task Force Licensure Update

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AM&AA Licensure Task Force in Washington, D.C. AM&AA Licensure Task Force in Washington, D.C.

As you know the AM&AA Licensure Task Force has been doing a great deal of research and leading discussion in the area of federal securities licensure/registration for M&A advisors in the middle marketplace. Our colleagues in other associations have been active as well in pursuit of getting clarity regarding exactly what requirements apply to business brokerage, M&A and mid market investment banking activities.

A legal fund has been established to pay the costs of representation. Several of our board members and other interested non-member independent professionals have also contributed $2,500. each to the fund, and colleagues from other organizations have made similar commitments. We need your help too. Your contribution to the "Marketplace Leadership Fund" will enable us to complete this important project, and play a pivotal role in shaping the future of our profession. We encourage you to contact any member of our task force to discuss a contribution, and your individual interest in being involved in our initiative. 

It is highly likely we'll be moving from a largely unregulated "hodge podge" to a much more coherent, cohesive, and orderly profession. Your support will enable us to ensure our collective voice is heard as this critical effort evolves over the months to come.

Respectfully,

Jim Cornell and Mike Ertel and the AM&AA task force members: Kevin Carlie, Mike Nall, Mike Adhikari and Ron Rudich.

Attachments
SEC BD Registration Guide 4-21-2008.pdf SEC BD Registration Guide 4-21-2008.pdf
(SEC BD Registration Guide 4-21-2008.pdf - 336.72 Kb)
AMAA Licensure Initiative Presentation (Las Vegas) 1-18-08.pdf AMAA Licensure Initiative Presentation (Las Vegas) 1-18-08.pdf
(AMAA Licensure Initiative Presentation (Las Vegas) 1-18-08.pdf - 334.11 Kb)
AMAA Updated Position Statement 10-31-07.pdf AMAA Updated Position Statement 10-31-07.pdf
(AMAA Updated Position Statement 10-31-07.pdf - 24.83 Kb)
Proposed SEC Rule Regulating "M&A Brokers" 9-14-07 Proposed SEC Rule Regulating "M&A Brokers" 9-14-07
(Proposed SEC Rule for MA Brokers 9-19-07 Draft.pdf - 286.47 Kb)
Proposed Model State Rule Regulating "M&A Brokers" - 9-14-07 Proposed Model State Rule Regulating "M&A Brokers" - 9-14-07
(Proposed Model State Rule for MA Brokers 9-19-07 Draft.pdf - 274.98 Kb)
Concept Outline for SEC MA Broker Registration Exemption 1-29-07.pdf Concept Outline for SEC MA Broker Registration Exemption 1-29-07.pdf
(Concept Outline for SEC MA Broker Registration Exemption 1-29-07.pdf - 177.30 Kb)
Concept Outline for State MA Broker Regulation 1-29-07.pdf Concept Outline for State MA Broker Regulation 1-29-07.pdf
(Concept Outline for State MA Broker Regulation 1-29-07.pdf - 179.75 Kb)
Comparison of BD Classifications and Regulation (Industry Version) 1-15-07 Final.pdf Comparison of BD Classifications and Regulation (Industry Version) 1-15-07 Final.pdf
(Comparison of BD Classifications and Regulation (Industry Version) 1-15-07 Final.pdf - 206.68 Kb)
SEC-CBI No Action Letter SEC-CBI No Action Letter
(SEC_CBI_No_Action.pdf - 87.49 Kb)
Stock vs. Asset Sale Issue Rev. 2005 Stock vs. Asset Sale Issue Rev. 2005
(Business Brokerage Press Article - Stock Versus Asset Sale Issue Revised 2005.pdf - 80.22 Kb)
Investment Banking/Broker Dealer Regulation 6-15-05 Investment Banking/Broker Dealer Regulation 6-15-05
(WNJ Investment Banking and BD Regulation 6-15-05.pdf - 149.76 Kb)
Broker Dealer Reform Sept. 2004 Broker Dealer Reform Sept. 2004
(BDReform-Sept. 2004.pdf - 396.28 Kb)
SEC-IBEC Response Dec. 12, 1986 SEC-IBEC Response Dec. 12, 1986
(SEC - International Business Exchange Corp 1986.rtf - 21.86 Kb)
SBA-Table of Small Business Size Stds. SBA-Table of Small Business Size Stds.
(SBA - Table of Small Business Size Standards (Adopted 2002).pdf - 258.76 Kb)
AM&AA letter-SEC Country Business No-action ltr. AM&AA letter-SEC Country Business No-action ltr.
(WNJ - AMAA Letter 1-8-07 Re SEC Country Business No-action Letter.pdf - 150.48 Kb)
ABA California Comment ltr on Finders and Private Placement Brokers ABA California Comment ltr on Finders and Private Placement Brokers
(ABA California Comment Letter on Finders and PPB 12-28-06.pdf - 536.72 Kb)
CA Assembly Bill No. 2167 - Amended 2/18/04 CA Assembly Bill No. 2167 - Amended 2/18/04
(CA ASSEMBLY BILL No 2167 2-18-04 Amended.pdf - 12.76 Kb)
CA Corp. Code 25501-Unlicensed BD Civil Liability CA Corp. Code 25501-Unlicensed BD Civil Liability
(California Corporations Code 25501 5 - Unlicensed BD Civil Liability @ 12-30-06.pdf - 198.54 Kb)
Morrison Foerster-California Risks for PPs-Finders Exemption 07-2005 Morrison Foerster-California Risks for PPs-Finders Exemption 07-2005
(Morrison Foerster - California Risks for PPs - Finders Exemption 07-2005.pdf - 80.30 Kb)
NCWB Article - AB 2167 NCWB Article - AB 2167
(NCBW Article - AB 2167.pdf - 124.26 Kb)
NCWB letter - AB2167 NCWB letter - AB2167
(NCBW Letter - AB 2167.pdf - 27.48 Kb)
L Mandatory Registration of Finders as Private Placement Brokers - SEC Action On The Way Part 2 (2).pdf L Mandatory Registration of Finders as Private Placement Brokers - SEC Action On The Way Part 2 (2).pdf
(L Mandatory Registration of Finders as Private Placement Brokers - SEC Action On The Way Part 2 (2).pdf - 93.60 Kb)
New Texas Ruling New Texas Ruling
(New rule clarifies when 'finders' can be keepers - Houston Business Journal_.pdf - 64.71 Kb)
Intermediary licensure article from Stock Sale Compliance.pdf Intermediary licensure article from Stock Sale Compliance.pdf
(Intermediary licensure article from Stock Sale Compliance.pdf - 87.34 Kb)
ABATaskForceReport 1-04-07.pdf ABATaskForceReport 1-04-07.pdf
(ABATaskForceReport 1-04-07.pdf - 415.42 Kb)
May 10th webinar draft May 10th webinar draft
(AMAA May 10th Webinar Presentation 4-30-07 Draft.PPT - 156.50 Kb)
Links
http://www.amaaonline.org/amLatest.asp
last modified 2008-05-21 12:38