From JD Supra’s post from the California Corporate and Securities Law Blog:
The North American Securities Administrators Association issued a comment letter urging the Securities and Exchange Commission not to move forward on its proposal to issue a conditional order exempting finders from the requirement to register as brokers. The SEC had proposed the order as a means “to assist small businesses to raise capital and to provide regulatory clarity to investors, issuers, and the finders who assist them”.
- Allison Herren Lee Named Acting Chair of the SEC
- Top Stocks To Short Today As Indices Hit New Records On Inauguration Day
- Kimberly Hamm, Chief Counsel to SEC Chairman, to Conclude Tenure
- Three New Whistleblower awards for $1.1 Million
- Stocks This Week: Sell Short General Dynamics And Transocean
- JPMorgan Posts Record $12.1 Billion Profit–Shattering Expectations Despite Pandemic Highs
- Fee Rate Advisory #2 for Fiscal Year 2021
- SEC Awards Nearly $600,000 to Whistleblower
- Elon Musk Falls To World’s Second Richest Person
- Acting Enforcement Director Marc P. Berger to Depart the Commission
Introductions and Primers
- What is Securities Arbitration?
- Overview of the Securities Arbitration Process
- The Firm’s Lawyer or Your Own Lawyer?
- Finders Explained – Be Careful
- Federal Securities Law, a Securities Lawyer Guide
- Introduction to State Securities (Blue Sky) Laws
- Expungement of Customer Complaints
- Guide to Broker-Dealer Registration