Tag Archive: finders

NSBA Seeks Reg Relief for Finders and Business Brokers

August 7, 2013 6:24 am Published by

NSBA has submitted a letter to the SEC seeking a safe harbor from the broker dealer registration requirements for small finders and business brokers to ensure small firms have fair access to capital through while maintaining investor protections.

Traps for the Unwary: Finders and Small Biz Investment

April 17, 2013 9:09 am Published by

In the seventh installation of our series, “Traps for the Unwary,” we discuss some of the challenges and legal issues small-business owners should be aware of in using a "finder" to connect small businesses with investors, and how the SEC has muddied the waters.