United States: SEC Proposes Conditional Exemption From Broker-Dealer Registration For Finders - Jones Day
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 Conditional Exemption From Broker-Dealer Registration For Finders - Jones Day
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United States: SEC Proposes Exemption From Broker Registration For Private Placement Finders - Ropes & Gray LLP
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The Securities and Exchange Commission (the "Commission") recently proposed an exemption from the broker-dealer registration..