broker-dealer — Blog — Whitman Legal Solutions LLC

Selling Real Estate Securities: The “Issuer Exemption” from Broker-Dealer Licensing

Real 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.

Securities LawElizabeth WhitmanNovember 14, 2022Whitman Legal Solutions, LLCbroker-dealer, rule 3a4-1, transaction-based compensation, issuer exemption

SEC Proposes Finder Rule

The Securities and Exchange Commission has proposed a rule that would, under limited circumstances, allow unlicensed individuals to be compensated finders in certain securities transactions.

Securities Law, Business LawElizabeth WhitmanOctober 13, 2020finder, transaction-based compensation, Rule 506(b), The Hermitage, The miller who was a wizard, broker-dealer, paul anka, sokolovsky, private placement

Bach to Business

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