Category: Marketing and Sales Activities
Broker Dealer | Hedge Funds | Investment Advisers | Marketing and Sales Activities | Private Investment Funds
Common Myths about Finders, Solicitors, Unregistered Broker-Dealers, and the “Issuer Exemption”
In the financial services industry, whenever money changes hands, everyone involved in the process wants to get paid. Investors understand that registered investment advisers and broker-dealers are compensated for their…