Tag Archives: Finders

Washington State to Regulate Venture Fund Managers

Posted on May 20, 2013 by Joe Wallin

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 Finders, NASAA, SEC, Venture Capital, venture funding, Washington State Department of Financial Institutions (DFI), Washington State Regulations | 2 Comments

SEC Fires Another Salvo in the “Finder” Debate

Posted on May 17, 2013 by Joe Wallin

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 Finders, middleman, networking, SEC, unregistered finders, Venture Capital | 7 Comments

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Tag Archives: Finders

Washington State to Regulate Venture Fund Managers

SEC Fires Another Salvo in the “Finder” Debate

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