Tagged: finders

Finders Bill: Legislation in Congress May Help Small Firms Raise Capital and this Paper Explains Why

Small businesses in the US, and just about every other country, are the life blood of the economy where they operate. This is a fact. Providing access to capital to smaller firms is thus a vital need to drive economic growth, create jobs, and enable… Read More

ACSEC Makes Recommendations on Finders & Other Intermediaries

The SEC Advisory Committee on Small and Emerging Companies (ACSEC) discussed the regulation of “Finders” at their most recent meeting in Washington, DC. Finders can act as a vital catalyst in matching investors to smaller companies yet there is “significant uncertainty” in the regulation of… Read More

SEC Publishes Agenda for May 10th ACSEC Meeting

The Securities and Exchange Commission (SEC) has published the agenda for the May 10 meeting of its Advisory Committee on Small and Emerging Companies (ACSEC). At this meeting, ACSEC will discuss the underwriting of small offerings and will receive updates from SEC staff about the… Read More

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

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… Read More

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