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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
Posted in Business law
Tagged Broker, Call, Commissioner, Finder, hears, Heeds, industry, Placement, Private, Rationalize
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