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 | 8 Comments

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Tag Archives: middleman

SEC Fires Another Salvo in the “Finder” Debate

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