Archives December 2019

LawCast Guide to Broker-Dealer Registration and Finders Fees

LawCast Guide to Broker-Dealer Registration and Finders Fees

I’m attorney Laura Anthony founding partner of Legal & Compliance, a full service corporate, securities, and business transactions law firm. Today is the continuation in a LawCast series talking about finders fees. Periodically the SEC updates its Guide to Broker-Dealer Registration explaining in detail the rules and regulations regarding the requirement that individuals and entities

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