Daniel Baich

Daniel Baich

Dorsey & Whitney LLP

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SEC Proposes Exemption from Broker-Dealer Registration for Finders Assisting Small Businesses with Capital Raising

On October 7, 2020, the Securities and Exchange Commission (”SEC”) proposed a new limited, conditional exemption from broker-dealer registration requirements of Section 15(a) of the Securities and Exchange Act of 1934, as...more

10/13/2020  /  Accredited Investors , Broker-Dealer , Exemptions , Private Offerings , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Regulation , Securities Transactions
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