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
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