14Oct
SEC’s Proposed Broker-Dealer Exemption May Apply to “Finders” for Municipal Securities
Today, the SEC published in the Federal Register a proposed notice of an exemptive order (the “Proposal”) that would, subject to limitations and conditions discussed below, exempt certain individuals seeking to find investors for private companies, unregistered funds and other non-reporting issuers ("Finders") from federal broker-dealer regulation requirements. Among other things the Proposal would allow Finders to earn commissions or other transaction-based compensation. Although not targeted...
By:
Mintz - Public Finance Viewpoints
Related
In Conway Construction Company v. City of Puyallup, No. 80649-1-1 (May 4, 2020), the Washington Cour...
Read More >
On July 24, 2019, the Chicago City Council passed an expansive fair workweek ordinance, effective Ju...
Read More >
For employees boisterously raising employment-related concerns on behalf of a larger group, when mig...
Read More >
Since early April, the Social Security Administration (SSA) has resumed mailing EDCOR (“educational...
Read More >
In Pozner v. Fox Broadcasting Co., Justice Saliann Scarpulla of the Commercial Division dismissed pl...
Read More >
Welcome to the first episode of Fraud Eats Strategy - the newest show on the Compliance Podcast Epis...
Read More >