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Get it in Writing or Else! Business Broker or "Finder's" Agreements

JD Supra: Mergers

The economy relies on brokers to connect parties with mutual business interests and needs, whether it is the sale of real estate, procurement of insurance, or joint investment. By: MG+M The Law Firm

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Hidden Road receives FINRA broker-dealer approval

The TRADE

Prime broker Hidden Roads subsidiary, Hidden Road Partners CIV US LLC has been granted approval by the Financial Industry Regulation Authority (FINRA) to operate as a FINRA-member broker-dealer. Read more: Ripple becomes first crypto business to own a global multi-asset prime broker as it picks up Hidden Road for $1.25

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FDIC Withdraws Proposed Rule on Brokered Deposits

JD Supra: Mergers

On March 3, the FDIC announced the withdrawal of its proposed rule on brokered deposits, citing concerns regarding potential disruptions to the financial sector.This move follows significant pushback from industry stakeholders who argued that the proposed changes could have unintended consequences for liquidity management and market stability.

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UK Financial Conduct Authority portfolio letter on supervisory strategy for wholesale brokers

JD Supra: Mergers

Financial Conduct Authority has published a Dear CEO Letter on its new strategy for supervising wholesale brokers. The FCA has observed a change in the sector in recent years with larger firms acquiring smaller ones and some weaker firms exiting the market altogether, although it observes the sector is overall healthy and competitive.

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UPC: Retaining Limited Broker Discretionary Authority

Deal Lawyers

It says: Each contest brings outcome-determinative procedural issues to light, such as MindMed retaining broker discretionary authority for shareholders who did not receive activist proxy materials, emphasizing the importance of engaging […]

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Trading Technologies launches new equities broker ranking system

The TRADE

Capital markets technology provider Trading Technologies (TT) has moved to enhance its institutional clients visibility and agility in the equities markets with the launch of a new broker ranking system. The post Trading Technologies launches new equities broker ranking system appeared first on The TRADE.

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6 Things We Learned About Business Interviewing Josh Ploch - Serial Entrepreneur, HR Expert and Business Broker

How2Exit

Josh Ploch is a serial entrepreneur and business broker/advisor who has seen firsthand how advisors can help business owners. Josh has also seen the need for business brokers in helping business owners transition into a new business or out of their current one. After that, the hard work begins on the selling side.

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