Beware of Regulatory Crackdown on Unregistered Brokers

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There is a growing regulatory crackdown on unregistered persons assisting businesses in raising capital. Finders and the businesses they assist must be extremely cautious about the myths that have developed from the historically insignificant enforcement activity surrounding unregistered persons.

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Published In: Business Organization Updates, General Business Updates, Finance & Banking Updates, Professional Malpractice Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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