News Releases

Comment: SEC Proposed Exemptive Order from Certain Broker Registration Requirements

This is a response to the Securities and Exchange Commission’s (“SEC”) proposal to grant exemptive relief to permit natural persons (“Finders”) to engage in certain limited activities on behalf of issuers, without registering as brokers. Thank you for your efforts to facilitate the flow of capital to businesses, particularly emerging businesses.
While the proposed regulations are an excellent first step, an overall approach such as…

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