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
On January 28, 2020, the U.S. Federal Trade Commission (FTC) announced the annual changes to the thr...
Read More >
In this episode of Trekking Through Compliance, we consider the episode The Lights of Zetar which ai...
Read More >
During its Q4 earnings report yesterday, Netflix announced a significant departure from past practic...
Read More >
Here's the timetable for EEO-1 comp data reporting. Late last week, the Equal Employment Opportunit...
Read More >
On December 4, 2019, Judge Ellen L. Hollander of the United States District Court for the District o...
Read More >
The US Citizenship and Immigration Services (USCIS) announced on November 7 that it has issued the f...
Read More >