Advisory Committee on Small & Emerging Companies Schedule Call on Treatment of “Finders”

ACSEC Kara Stein and Stephen GrahamThe SEC Advisory Committee on Small and Emerging Companies (ACSEC) has scheduled a call for July 15th at 1PM ET to discuss the issue of “finders”.  This references the regulatory treatment of individuals who connect investors with companies seeking capital. The rules regarding finders remain unclear as to when they apply, and if an individual must be registered as a broker – dealer.  ACSEC seeks to provide some guidance and clarity on the issue, especially in a world that is constantly connected via the internet.

The live audio will be publicly available on the SEC web site on the 15th.

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