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
Welcome to your weekly update from the Allen & Overy Pensions team, bringing you up to speed on the ...
Read More >
A new year means new changes to California’s minimum wage laws. California employers should take no...
Read More >
Be a part of the conversation! Join us for our International Women's Day event, a solutions-oriented...
Read More >
The Internal Revenue Code imposes dollar limitations on various compensation, benefit and contributi...
Read More >
As it does annually around this time, on January 28, 2020, the Federal Trade Commission (“FTC”) an...
Read More >
In this transcript of the video below, attorneys Ron Wayne and Sarah Blank discuss the SECURE Act an...
Read More >