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SEC Proposed Order Exempts Certain Finders From Registering As Broker - Corporate/Commercial Law

On October 7, 2020, the Securities and Exchange Commission (the "SEC") issued a Proposed Order ("Proposal") to establish exemptions from the broker registration requirements for certain Finder activities (the "Proposal"). ....

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Raising Capital Using an Intermediary Finder: The Potential Impact of the SEC's Proposed Conditional Finder Exemptions | Burns & Levinson LLP

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In an industry already rife with significant regulatory complexities, cannabis issuers face another challenge familiar to many small and emerging businesses raising capital: The regulatory minefield posed by hiring unregistered broker-dealers, also known as “finders,” to assist issuers with raising capital in private markets from accredited investors. This is particularly true for the capital raising ecosystem within the cannabis space, which, due to its federal illegality among other factors, lacks the type of established, robust capital raising networks available to other, more traditional industries.
This post is the first of two installments of a “mini-series” discussing the potential impact of the SEC’s proposed limited conditional “finder” exemptions on issuers’ capital raising efforts. ....

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