The 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.
Beta. Initial Form 1-A only. Target raise is the stated Amount to be Raised, totaled. Compared with the same dates one year earlier.
YTD: Jan 1, 2026 - Nov 4, 2026 vs Jan 1, 2025 - Nov 4, 2025
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Number of Filings134Prior 129 +3.9%
Target Raise, Total$3.45BPrior $3.59B -3.8%
This YTD
Year prior
Change
Filings
134
129
+3.9%
Target raise
$3.45B
$3.59B
-3.8%
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This display counts initial Form 1-A filings only. It does not represent subsequent filings, including Form 1-A/A amendments or Form 1-A POS post-qualification updates filed by the issuer. Amounts are the stated Amount to be Raised on the initial filing, not capital raised and not amounts revised in later filings.
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The 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.
