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Practical Thought Leadership – Common Myths About Finders, Solicitors, Unregistered Broker-Dealers and the “Issuer Exemption”

Hardin is pleased to share this recent contribution to the National Society of Compliance Professionals (NSCP)  Currents: Common Myths About Finders, Solicitors, Unregistered Broker-Dealers, and the “Issuer Exemption” by Partner and Managing Director, Jaqueline Hummel.  Click here for a reprint of the article This article provides practical advice to private fund managers on how to conduct fund-raising activities without running afoul of existing regulations.  

Coincidentally, the SEC recently proposed an exemptive order allowing individuals to act as finders without registering as broker-dealers, along with a chart and a video explaining how it works. 

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