Rimma Tsvasman

Rimma Tsvasman

Cole Schotz

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SEC Proposes Conditional Exemption From Broker Registration Requirements For Finders Assisting Small Businesses With Capital...

Easing of restrictions may be on the way for smaller issuers seeking to rely on “finders” to assist with their capital raising efforts. On October 7, 2020, the U.S. Securities and Exchange Commission (the “SEC”) proposed a...more

10/22/2020  /  Accredited Investors , Broker-Dealer , Capital Raising , Exemptions , Finders , Investors , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Regulation
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