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
In our previous blog we wrote about California’s Assembly Bill 51, which largely impacts arbitratio...
Read More >
Introduction - Nothing focuses the mind more than when you cannot obtain food which, as Maslow's hie...
Read More >
The experts speak their minds! The Office of Federal Contract Compliance Programs and the National ...
Read More >
A Bexar County judge just allowed San Antonio employers to enjoy their Thanksgiving holiday a little...
Read More >
Ridgeway v. Wal-Mart, Inc., 946 F.3d 1066 (9th Cir. 2020) - The employer must pay minimum wages to ...
Read More >
If you look at my office or my den, you’d think I ransacked Steiner Sports since I collect a lot of...
Read More >