Law Blog Category: Finder’s Fees

The Payment Of Finders’ Fees- An Ongoing Discussion

Introduction As a recurring topic, I discuss exemptions to the broker-dealer registration requirements for entities and individuals that assist companies in fundraising and related services. I have previously discussed the no-action-letter-based exemption for M&A brokers, the exemptions for websites restricted to accredited investors and for crowdfunding portals as part of the JOBS Act and the Read the full article…

SEC Advisory Committee Recommendations Related To Finders

Finders- The Facts Related To Broker-Dealer Registration Requirements

The ABA Pushes To Allow For The Payment Of Finder’s Fees