SEC Proposes Order to Exempt Certain Finders from Broker-Dealer Registration
| Published date | 12 November 2020 |
| Subject Matter | SEC,Small Business,Enforcement Actions,Banking Sector,Financial Services Industry |
| Author | Russell Sacks,Steven Blau,Jennifer Morton,Jenny Ding Jordan,P. Sean Kelly,Taylor Pugliese |
| Law Firm | Shearman & Sterling LLP |
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