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The SEC Remains In Search Of And Is Looking For Finders - Securities

Much has been written on the topic of finders and arrangers of securities transactions, including when a person or entity acting as a finder (i.e., someone who merely makes an introduction).

United statesRichard edenSky group united statesUs district courtSecurities exchangeSky groupDistrict courtExchange act release noGroup united statesSouthern districtSouth florida venezuelan americanCentral districtProposed exemptive order grantingConditional exemptionBroker registration requirementsSecurities exchange act

The SEC Remains in Search of and Is Looking for Finders | Katten Muchin Rosenman LLP

Much has been written on the topic of finders and arrangers of securities transactions, including when a person or entity acting as a finder (i.e., someone who merely makes an.

United statesRichard edenJay claytonExchange commissionSky group united statesUs district courtSecurities exchangeSky groupExchange act release noGroup united statesSouthern districtSouth florida venezuelan americanCentral districtBroker registration requirementsSecurities exchange actCertain activities

SEC 2021 Examination Priorities – Focus on Municipal Securities and Municipal Advisors | Ballard Spahr LLP

SEC 2021 Examination Priorities – Focus on Municipal Securities and Municipal Advisors | Ballard Spahr LLP
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City ofUnited kingdomExchange commission division of examinationBallard spahrBank offered rateOffice of municipal securities staff statementExchange commissionLondon inter bank offered rateRegulation best interestCritical role playedChief compliance officersTemporary conditional exemptionBroker registration requirementsExchange actCertain activitiesRegistered municipal advisors