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Published on 10-12-2020 05:12 AM
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U.S. Securities and Exchange Commission Proposes Conditional Exemption for Finders Assisting Small Businesses with Capital Raising | site |
(October 7, 2020) - - Today, October 7, 2020, the U.S. Securities and Exchange Commission (SEC) published the following information:
Washington D.C., Oct. 7, 2020 — The Securities and Exchange Commission today voted to propose a new limited, conditional exemption from broker registration requirements for “finders” who assist issuers with raising capital in private markets from accredited investors. If adopted, the proposed exemption would permit natural persons to engage in certain limited activities
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