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
The 2019-20 certified teachers’ and administrators’ negotiation season is just about at the halfwa...
Read More >
In a surprising decision, the California Supreme Court has ruled that Plaintiffs in Private Attorney...
Read More >
Welcome to the third edition of our “Public Takeovers in Germany” newsletter. It provides an overv...
Read More >
The DE OFCCP Week in Review (WIR) is a simple, fast and direct summary of relevant happenings in the...
Read More >
The Colorado legislature has been quite active in recent weeks, passing several new employment laws,...
Read More >
For the first time in sixty years, the U.S Department of Labor is substantively revising the regulat...
Read More >