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Category: Client Alerts

The SEC Proposes a Limited Exemption to deregulate Capital Raising Efforts

Wed 14 Oct, 2020  /  by   /   Securities Regulation

In a nod to both Wall Street and Main Street, the SEC recently proposed an order to deregulate certain capital-raising efforts for private issuers. The proposal prescribes conditions to permit natural-person finders to raise capital for issuers absent the finder submitting to the substantive broker-dealer registration and regulatory regime prescribed […]

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