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
As we say goodbye (and good riddance) to an incredibly challenging 2020, we thought it would be usef...
Read More >
A recent Scottish case considers the contractual power to omit works and highlights key principles a...
Read More >
Maine has joined the trend of other New England states, including Massachusetts, New Hampshire, and ...
Read More >
Resources - Florida Supreme Court Amends Summary Judgment Procedural Rule to Mirror Federal Doctri...
Read More >
On September 18, 2019, California Governor Gavin Newsom signed into law AB5, codifying the ABC test ...
Read More >
Join this one-hour webcast to learn how to align your business with the 2018 FAB guidelines and miti...
Read More >