One of the most overlooked and problematic issues concerning capital raising by small businesses, venture capital funds, and private equity funds is the use of “finders” to assist issuers with raising capital. Those who act...more
9/15/2022
/ Broker-Dealer ,
Capital Raising ,
Corporate Issuers ,
Finders ,
Investment ,
Investors ,
Private Equity ,
Regulatory Requirements ,
Safe Harbors ,
Securities and Exchange Commission (SEC) ,
Transaction-Based Compensation ,
Unregistered Brokers ,
Venture Capital