SEC Proposes Order to Exempt Certain Finders from Broker-Dealer Registration

Published date12 November 2020
Subject MatterSEC,Small Business,Enforcement Actions,Banking Sector,Financial Services Industry
AuthorRussell Sacks,Steven Blau,Jennifer Morton,Jenny Ding Jordan,P. Sean Kelly,Taylor Pugliese
Law FirmShearman & Sterling LLP

To continue reading

Request your trial

VLEX uses login cookies to provide you with a better browsing experience. If you click on 'Accept' or continue browsing this site we consider that you accept our cookie policy. ACCEPT