Seyfarth Synopsis: The Securities and Exchange Commission currently takes the view that "finders" who introduce potential investors to a company must register as brokers if they receive compensation based on the amount of...more
10/15/2020
/ Broker-Dealer ,
Financial Services Industry ,
Financial Transactions ,
Finders ,
Fund Managers ,
Investment Adviser ,
Investment Management ,
Regulatory Agenda ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Regulation