Jeremy Halpern

Jeremy Halpern

Nutter McClennen & Fish LLP

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SEC Proposal for Limited Exemption from Broker-Dealer Registration

On October 7, 2020, the Securities and Exchange Commission (the “SEC”) proposed a limited, conditional exemption from the broker registration requirements of Section 15(a) of the Securities Exchange Act of 1934 (the “Exchange...more

10/21/2020  /  Broker-Dealer , Financial Services Industry , Finders , Private Offerings , Proposed Regulation , Registration Requirement , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Regulation
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