Speaking Engagement Recap
May 15, 2019
Strafford Webinar
Finders and Unregistered Broker-Dealers: Understanding the Risks and Recent Developments
Webinar
Overview
Matt Kuhn analyzes the legal pitfalls for securities issuers who utilize unregistered "finders" to solicit investors, the SEC's restrictive position on permissible activities of finders, activities that require broker-dealer registration and SEC regulatory actions regarding unregistered broker-dealers.
Related Industries
Speakers
