United States: SEC Proposes New Rules That Would Exempt Certain "Finders" From Registration As Brokers - Seyfarth Shaw LLP

Mondaq

16 Oct 2020 0 shares 1 views

United States: SEC Proposes New Rules That Would Exempt Certain "Finders" From Registration As Brokers - Seyfarth Shaw LLP

Mondaq

Published 16 Oct 2020

Seyfarth Synopsis: The Securities and Exchange Commission currently takes the view that "finders" who introduce potential investors to a company must register as brokers

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United States: SEC Proposes New Rules That Would Exempt Certain "Finders" From Registration As Brokers - Seyfarth Shaw LLP

United States: SEC Proposes New Rules That Would Exempt Certain "Finders" From Registration As Brokers - Seyfarth Shaw LLP

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