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.

Posts tagged finder

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