Tag Archives: Rationalize

An SEC Commissioner Hears and Heeds the Call to Rationalize the Private Placement Broker (“Finder”) Industry

As previously noted in this blog (see “Private Placement Brokers Await Attention by SEC” June 6, 2017) and in this firm’s sister blog (see “Private Placement Brokers Should be Legalized along with M&A Brokers” in the RIA Compliance Blog, Jan. … Continue reading

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