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
This week, in response to the emergence of COVID-19 hot spots in downstate New York, Governor Cuomo ...
Read More >
Wellness programs are a popular employee benefit. Whether an employer already has a program in place...
Read More >
As discussed in a previous alert, the 2018–19 New York State budget included provisions designed to...
Read More >
On February 6, 2020, Judge Loretta Biggs of the United States District Court for the Middle District...
Read More >
Holiday Pay for Part-Year Workers - In Harpur Trust v Brazel [2019] EWCA Civ 1402, the Court of App...
Read More >
Equal pay for equal work is a hot topic for employers. In the last few years, several states have pa...
Read More >