SEC Proposes Conditional Broker Exemption For Finders
By EsqSocial Corporation 20/10/20
What You Need To Know: •The SEC proposes to exempt two types of Finders from broker-dealer registration pursuant if they satisfy certain conditions. •Tier I Finders may provide potential investors’ contact information to issuers but may not engage in solicitation-related activities with the potential investors......
By: Lowenstein Sandler LLP