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
The achievement of legislative consensus in 2018 around a preferred approach to safeguarding U.S. te...
Read More >
As a 401(k) plan sponsor, I’m sure you’ve been spoken to by a plan provider who wants you as a cli...
Read More >
An employment tribunal recently found that a belief in ethical veganism is protected as a philosophi...
Read More >
As you may have heard, Immigration and Customs Enforcement (“ICE”) plans to begin the previously p...
Read More >
The U.S. Department of State has released the October 2019 Visa Bulletin, the first for fiscal year ...
Read More >
For government contractors, the regulatory landscape is always changing, and navigating these change...
Read More >