NASAA Slams SEC Move to Clarify Rules Surrounding Finders

November 13, 2020 @ 6:26 pm By JD Alois |

The North American Securities Administrators Association (NASAA) distributed a comment letter today outlining its opposition to the proposal by the Securities and Exchange Commission’s move to clarify the role of Finders. A Finder is an individual that finds investors for smaller firms. A lack of… Read More

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Read more in: General News, Opinion, Politics, Legal & Regulation | Tagged finders, lisa hopkins, nasaa, north american securities administrators association, regulation, sec