United States: SEC Proposes Exemption From Broker Registration For Private Placement Finders - Ropes & Gray LLP

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20 Oct 2020 0 shares 1 views

United States: SEC Proposes Exemption From Broker Registration For Private Placement Finders - Ropes & Gray LLP

Mondaq

Published 20 Oct 2020

The Securities and Exchange Commission (the "Commission") recently proposed an exemption from the broker-dealer registration requirements of Section 15(a) of the Exchange Act of 1934 ...

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United States: SEC Proposes Conditional Exemption From Broker-Dealer Registration For Finders - Jones Day

Mondaq 26 Oct 2020

The Situation: For many years, various groups have urged the Securities and Exchange Commission ("SEC" or "Commission")

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United States: SEC Proposes Exemption From Broker Registration For Private Placement Finders - Ropes & Gray LLP

United States: SEC Proposes Exemption From Broker Registration For Private Placement Finders - Ropes & Gray LLP

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United States: SEC Proposes Conditional Exemption From Broker-Dealer Registration For Finders - Jones Day

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