Bach to Business

Our award-winning blog draws from Elizabeth Whitman’s background in and passion for music to illustrate creative solutions for complex legal challenges in business and real estate investing.

Posts tagged broker dealer

Why Securities Issuers Should Emulate Marian the Librarian Rather Than Harold Hill

Issuers who don't use licensed brokers to sell their securities are best served by complying with the issuer exemption under Rule 3a4-1.

Securities LawElizabeth WhitmanOctober 8, 2025The Music Man, Marian the Librarian, Professor Harold Hill, rule 3a4-1, broker dealer, securities regulation