Tag Archives: Finders

Washington State to Regulate Venture Fund Managers

This article is appearing simultaneously on The Venture Alley and on Startup Law Blog. Readers may feel free to re-post this content elsewhere as well. The world is changing for venture funds and similar funds in Washington State, and not necessarily for the … Continue reading

Posted in Financings | Tagged , , , , , , | 2 Comments

SEC Fires Another Salvo in the “Finder” Debate

The SEC recently issued orders against two individuals and a company and, in doing so, continued the debate over what conduct requires someone acting as a “finder” to be registered as a broker or dealer or associated with a registered … Continue reading

Posted in Federal Law & Regulation | Tagged , , , , , | 7 Comments