SEC Continues to Deny Finders Exemption From Broker-Dealer Registration.
Mondaq Business Briefing › Nbr. 2010, January 2010
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Summary
Securities and Exchange Commission
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SEC Continues to Deny Finders Exemption From Broker-Dealer Registration.
The Securities and Exchange Commission recently issued a response to a no-action request that emphasizes the SEC's narrow interpretation of the finder exception from broker-dealer registration. As dis...
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