Christopher Yaracs

Christopher Yaracs

Royer Cooper Cohen Braunfeld LLC

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SEC Proposes Broker-Dealer Exemption for “Finders,” Though Much Remains Uncertain

A recently proposed Securities and Exchange Commission (“SEC”) exemption from broker-dealer registration may make it easier for small and medium-sized businesses to raise capital from accredited investors, but questions...more

9/10/2021  /  Broker-Dealer , Exemptions , Finders , Investment Adviser , Registration Requirement , Regulatory Agenda , Regulatory Reform , Securities and Exchange Commission (SEC) , Securities Regulation
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