Nearly five years after it was first proposed, the SEC appears to be returning its attention to the finder rule proposed during the the first Trump Administration.
Read MoreReal estate sponsors and other companies that sell their own securities must take care to ensure that their personnel aren't acting as unlicensed broker-dealers. Rule 3a4-1 provides a safe harbor for issuer personnel involved in selling securities. Read our article to learn about Rule 3a4-1 and best practices for issuers that sell their own securities.
Read MoreThe Securities and Exchange Commission has proposed a rule that would, under limited circumstances, allow unlicensed individuals to be compensated finders in certain securities transactions.
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