Tagged: finders

October 7, 2020 @ 2:40 pm By JD Alois  |  

A Longstanding Grey Area Today at an open meeting, the Securities and Exchange Commission (SEC) proposed an update to rules pertaining to “Finders” –  individuals or firms that help smaller businesses find investors. The potential change will subject these individuals or firms to reduced regulation… Read More

September 30, 2020 @ 8:04 pm By JD Alois  |  

The Securities and Exchange Commission has scheduled an open meeting on the topic of “finders.” The Commission will consider a conditional exemption from broker registration requirements for individuals to engage in “certain limited activities” on behalf of securities issuers. To quote the Commission: “The Commission… Read More

July 15, 2018 @ 3:46 pm By JD Alois  |  

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

May 18, 2017 @ 4:10 am By JD Alois  |  

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

May 5, 2017 @ 5:38 pm By JD Alois  |  

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

July 8, 2015 @ 2:50 pm By JD Alois  |  

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