15Oct
SEC proposes narrow broker-dealer registration exemption for finders
The U.S. Securities and Exchange Commission (SEC) proposed a new exemptive order on Wednesday, October 7, which would exempt certain “finders” from broker-dealer registration under Section 15(a) of the U.S. Securities Exchange Act of 1934 (the Exchange Act) that, if adopted, would provide a degree of clarity for intermediaries seeking to assist certain small and emerging private companies with capital formation. Please see full Publication below for more information....
By:
Hogan Lovells
Related
Ontario: Amendments to Employment Standards Act and Labour Relations Act - New Legislation Enacted ...
Read More >
What is CFIUS? The Committee on Foreign Investment in the United States (CFIUS) is an interagency co...
Read More >
Oilfield Services Company Discriminated Against Black Workers, Subjecting them to a Hostile Work Env...
Read More >
On December 20, 2019, President Trump signed the Further Consolidated Appropriations Act, 2020 (the ...
Read More >
On December 17, 2019, the Senate passed the National Defense Authorization Act (NDAA) for Fiscal Yea...
Read More >
Do you think that there is a difference between “furnishing” labor and “performing” labor? (Is t...
Read More >