Alexa Shockley

Alexa Shockley

Eversheds Sutherland (US) LLP

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SEC proposes exempting certain finders from broker registration

On October 7, 2020, the US Securities and Exchange Commission (SEC) proposed granting exemptive relief from the broker registration requirement in Section 15 of the Securities Exchange Act of 1934, as amended (the Exchange...more

10/29/2020  /  Brokers , Capital Formation , Exemptions , Finders , Private Offerings , Private Placements , Proposed Regulation , Registration Requirement , Securities and Exchange Commission (SEC) , Securities Exchange Act
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