Proposed Broker Registration Exemption For Finders.pdf
34-90112.pdfDescription
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The main thing is that the SEC is proposing an exemptive order allowing natural persons to act as Finders without broker registration under Section 15(a) of the Exchange Act. There are two tiers: Tier I and Tier II, each with their own conditions. The notice is under Release No. 34-90112 and File No. S7-13-20. They need comments by a specific dat
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- File Size: 385 KB
- Pages: 37
- Language: EN
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- Last Updated: 1 week ago
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