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Securities Exchange Act › Finder's Fees

The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +
The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange Commission (SEC), which is the primary regulatory agency enforcing federal securities laws. less -
White & Case LLP

Permitted Finder Activities: SEC Proposes Long-Awaited Exemption

White & Case LLP on

Finders seeking to assist companies in raising capital are required to navigate an often cloudy path to determine whether the finder's activities and any compensation the finder would receive for its services would run afoul...more

Mintz - EB-5 Financing Viewpoints

Three Immigration Lawyers Sanctioned by the SEC for Brokering EB-5 Investments

Mintz - EB-5 Financing Viewpoints on

The Securities and Exchange Commission (SEC) has just published three new decisions in connection with administrative proceedings against two well known immigration lawyers, as well as against a third lawyer. One party has...more

Latham & Watkins LLP

Finders Are Not Always Keepers!

Latham & Watkins LLP on

Your good client, Avery Phillips, Chairman of the Board, calls you because he is considering engaging a friend, Tepper, to identify potential investors for his company. Phillips explains that Tepper has extensive business...more

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