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S.1923 - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2014

A bill to amend the Securities Exchange Act of 1934 to exempt from registration brokers performing services in connection with the transfer of ownership of smaller privately held companies. view all titles (2)

All Bill Titles

  • Short: Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2014 as introduced.
  • Official: A bill to amend the Securities Exchange Act of 1934 to exempt from registration brokers performing services in connection with the transfer of ownership of smaller privately held companies. as introduced.

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Introduced
 
Senate
Passes
 
House
Passes
 
President
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01/14/14
 
 
 
 
 
 
 

Official Summary

Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2014 - Amends the Securities Exchange Act of 1934 to exempt from its registration requirements certain merger and acquisition (M&A) brokers and associated persons. Denies such registration exemption, however,

Official Summary

Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2014 - Amends the Securities Exchange Act of 1934 to exempt from its registration requirements certain merger and acquisition (M&A) brokers and associated persons. Denies such registration exemption, however, to brokers who:
(1) receive, hold, transmit, or have custody of any funds or securities to be exchanged by parties to a transfer of ownership of an eligible privately held company; or
(2) engage on behalf of an issuer in a public offering of securities that are either subject to mandatory registration, or with respect to which the issuer must file periodic information, documents, and reports. Prohibits the construction of this Act to limit any other authority of the Securities and Exchange Commission (SEC) to exempt any person, or any class of persons, from any provision of this Act, including any related rule or regulation.

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