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
National Trucking Company Used 'Back Assessment' to Screen Out Job Applicants It Regarded as Disable...
Read More >
On April 29, 2020, six Bay Area counties – Alameda, Contra Costa, Marin, San Francisco, San Mateo, ...
Read More >
With the new year comes the likelihood that the U.S. Supreme Court, the California Supreme Court, an...
Read More >
In 2014, the Obama-era National Labor Relations Board made over two dozen changes to the union elect...
Read More >
On April 6, 2018, the U.S. Department of Labor (DOL) issued Field Assistance Bulletin No. 2018-3 in ...
Read More >
A federal jury in Iowa has rejected Equal Pay Act claims by a female physician alleging she was paid...
Read More >