Alexandria Kane

Alexandria Kane

White and Williams LLP

Contact
View Bio
RSS

Latest Posts › Broker-Dealer

Share:

Finders May Finally Be Keepers: SEC Proposes Rules Allowing for Unregistered Broker-Dealers to Participate in Capital-Raising...

The ability to raise capital is one of the most critical challenges facing small businesses in the U.S. today. Capital can allow for exponential growth of a well-run startup with a good idea, but the lack of capital is the...more

10/19/2020  /  Broker-Dealer , Capital Raising , Federal Register , Financial Industry Regulatory Authority (FINRA) , Finders , No-Action Relief , Proposed Rules , Public Comment , Securities and Exchange Commission (SEC) , Securities Exchange Act
1 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide