May 15, 2019

Strafford Webinar

Finders and Unregistered Broker-Dealers: Understanding the Risks and Recent Developments

Webinar

Overview

Matt Kuhn analyzes the legal pitfalls for securities issuers who utilize unregistered "finders" to solicit investors, the SEC's restrictive position on permissible activities of finders, activities that require broker-dealer registration and SEC regulatory actions regarding unregistered broker-dealers.
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