Information for Sellers, Buyers and Issuers

Who is MAS?

M&A Securities Group, Inc. (“MAS”) is a broker-dealer registered with the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority (“FINRA”), and the majority of our state securities commissions. We serve as a broker-dealer platform for boutique M&A Advisory Firms and Investment Banks who wish to have persons duly licensed to offer securities-related services. By registering with our FINRA broker-dealer, your advisor has taken the necessary steps to ensure compliance should your transaction involve securities.

 

Why is MAS on our Letter of Engagement?

If our name appears on a letter of engagement presented to you, this means that it is either anticipated, possible or determined that the resulting transaction may involve securities. A stock sale, for example, is a securities transaction. An asset sale wherein the seller accepts securities as consideration is also a securities transaction. Placement Agent Services for equity and debt raises always require a registered broker-dealer, regardless of the investor’s institutional status. The integrity of the transaction is protected when you work with a registered broker-dealer.

 

I want to work with the group I hired out of my city

If MAS is involved in your engagement, it does not change the actual persons that are servicing you. Our affiliates are located nationwide and, if services involve securities, they simply act in their capacity as registered agents of the broker-dealer on transactions involving securities. Our compliance team works behind the scenes with your advisor(s) to ensure records and processes follow applicable rules and regulations.

 

Resources

SEC Guide to BD Registration

FINRA BrokerCheck

Case Study on Paying Unregistered Entity

 

Why Should a Company use a registered BD Why Should a Company use a registered BD (149 KB)

Think of Us as Your Compliance Department Down the Hall

4151 N. Mulberry Drive, Suite 252
Kansas City, MO 64116
Tel: 816-888-7920

Member of FINRA / SIPC

Disclaimers

Copyright M&A Securities Group, Inc. All rights reserved.

web services by: leapfrogwebdesign.com