Tag Archives: middleman

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

This website is made available by the lawyer or law firm publisher for educational purposes only as well as to give general information and a general understanding of the law, not to provide specific legal advice. By using this blog site you understand that there is no attorney client relationship between you and the website publisher. The website should not be used as a substitute for competent legal advice from a licensed professional attorney in your state.

Thoughts and commentary on the law of startups. Brought to you by Davis Wright Tremaine

WordPress Theme by Simple Themes

Tag Archives: middleman

SEC Fires Another Salvo in the “Finder” Debate

Categories

Subscribe to Blog via Email

Archives

Brought to You By:

Copyright