.svg?rev=a492cc1069df46bdab38f8cb66573f1c&hash=2617C9FE8A7B0BD1C43269B5D5ED9AE2)
Speaking Engagement Recap
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.
