CORPORATE & SECURITIES ALERT

Action Items

Although the Exemption is self-executing and does not require any notice filing, M&A brokers should contact their NG&E attorney to (i) assist in analyzing and determining whether they are eligible to rely upon the Exemption, (ii) analyze applicable state regulatory laws, (iii) review and prepare documents to be used by the M&A broker, such as “M&A engagement letter agreements”, (iv) review M&A broker advertising or marketing, including websites, and (v) establish procedures designed to ensure ongoing compliance with the requirements of the Exemption.

This alert was authored by Wesley G. Nissen | 312-269-5697 | wnissen@nge.com Michael B. Gray | 312-269-8086 | mgray@nge.com

Should you have any questions about this guidance or any other matters related to the M&A Broker Exemption law, please contact Wesley Nissen, Michael Gray or your Neal Gerber Eisenberg attorney.

The content above is based on information current at the time of its publication and may not reflect the most recent developments or guidance. Please note that this publication should not be construed as legal advice or a legal opinion on any specific facts or circumstances. The contents of this publication are intended solely for general purposes, and you are urged to consult a lawyer concerning your own situation and any specific legal questions you may have.

The alert is not intended and should not be considered as a solicitation to provide legal services. However, the alert or some of its content may be considered advertising under the applicable rules of the supreme courts of Illinois and certain other states.

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