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
In Salladay v. Lev, the Delaware Chancery Court elaborated on how early a corporate board must take ...
Read More >
Despite not being able to prove the alleged wrongdoings that led an Arkansas employer to terminate a...
Read More >
Setting up a new business in Ontario can raise legal questions and concerns about recruiting and hir...
Read More >
On January 1, 2020, Illinois' new Artificial Intelligence Video Interview Act (AIVIA) went into effe...
Read More >
In recent weeks, the Office of Federal Contract Compliance Programs (“OFCCP”) has entered into fou...
Read More >
Non-Profit Medical Institution Subjected Employee to Illegal Medical Examinations and Fired Her in V...
Read More >