Law Blog Tag: Broker-Dealer Registration Requirements
The Payment Of Finders’ Fees- An Ongoing Discussion
July 05, 2017 in Broker Dealer Registration Requirements, Broker-Dealer, Emerging Growth Company (EGC), Finder's Fees, FINRA, FINRA Compliance, FINRA Rules, Form 1-A, M&A Brokers, Smaller Reporting Company
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…
Finders- The Facts Related To Broker-Dealer Registration Requirements
August 25, 2015 in Broker Dealer Registration Requirements, Broker-Dealer, Finder's Fees, Uncategorized, White Paper
Case Study of Online Funding as Related to Broker-Dealer Exemptions
July 07, 2014 in Broker-Dealer, JOBS ACT and Crowdfunding, Rule 506, Section 3(a)(39), Uncategorized