top of page
Writer's pictureLawExchange International

Is My Intermediary A “Finder” Or “Broker”? Using An Unregistered Broker Is A Perilous Trap

Companies seeking to raise capital from outside investors might turn to an intermediary to help them identify or connect with new investors. Before retaining an intermediary, however, it is imperative for the company to determine whether the intermediary is a finder or broker according to the United States Securities and Exchange Commission (the “SEC”).


Read the full article here.

161 views0 comments

Recent Posts

See All

Cybersecurity: Breach Preparedness Webinar

Need any tips on protecting your company's data? Please watch the below webinar hosted by Lucas Beal. Should you have any questions or...

Comments


bottom of page