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 Mississippi Commission on Environmental Quality (“MCEQ”) and Dixie Springs Enterprises, LLC (“...
Read More >
The COVID-19 Virus was declared a “Public Health Emergency of International Concern” by the World ...
Read More >
World Law Group (WLG) has released the second edition of the WLG Merger Control Guide, which provide...
Read More >
Earlier this year, Governor Newsom signed two amendments to SB 1343 extending the deadline to comply...
Read More >
In a growing technological and global marketplace, the labor market is expanding to accommodate the ...
Read More >
Before initiating a lawsuit under Title VII, a complainant must first file a charge of discriminatio...
Read More >