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”.
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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