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North American Securities Administrators Association Unregistered Brokers

Sheppard Mullin Richter & Hampton LLP

SEC Proposal to Exempt Finders from Registration Generates Split Reaction

A Securities and Exchange Commission (“SEC”) plan to create a registration exemption for certain finders has generated a mixed response. The nearly 90 comments received by the SEC by the November 12, 2020 close of the comment...more

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