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Top News In ப்ரைஸிஂக் சேவை Today - Breaking & Trending Today

First Tech Federal Credit Union Selects ICE Mortgage Technology's Encompass Product And Pricing Service To Streamline Automation And Scale - Credit Union Adopts EPPS To Future-Proof Mortgage Lending Demands

MLO Jobs; Servicing, Customer Service, Decisioning, Retention Tools; Events and Training This Week

MLO Jobs; Servicing, Customer Service, Decisioning, Retention Tools; Events and Training This Week
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Regulatory Update and Recent SEC Actions - January 2021 | Blank Rome LLP


REGULATORY UPDATES
SEC Proposes Conditional Exemption for Finders Assisting Small Businesses with Capital Raising
On October 7, 2020, the Securities Exchange Commission (the “SEC”) proposed a conditional exemption from broker registration requirements for certain “finders” who assist issuers with raising capital in private markets. If adopted, the proposed exemption would permit natural persons to engage in certain limited activities involving accredited investors without registering with the SEC as brokers. The proposed exemption seeks to assist small businesses in raising capital and to provide regulatory clarity to investors, issuers, and the finders who assist them. The proposed exemption would establish guidelines for both registered broker activity and limited activity by finders that would be exempt from registration. ....

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