Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Tuesday, January 13, 2015

Do I Have to Disclose Payments to Finders?


Companies seeking capital are frequently approached by intermediaries who offer to locate investors in exchange for a fee. Most intermediaries also known as "finders" are not registered as broker-dealers with the Securities and Exchange Commission ...
http://www.securitieslawyer101.com/2015/undisclosed-payments-finders/

No comments:

Post a Comment