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Legal & Compliance, LLC - Securities Law Firm
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Legal & Compliance, LLC is a Corporate and Securities Law Firm
Legal & Compliance, LLC is a Corporate and Securities Law Firm

724 followers
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The mere providing of names or an introduction without more has consistently been upheld as falling outside of the broker dealer registration requirements.

An individual or entity can collect compensation for acting as a finder as long as the finder’s role is limited to making an introduction.

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SEC Adopts Interpretive Guidance on Pay Ratio Rule- http://bit.ly/2wCLIyn

Over the years, a “finder’s” exemption has been fleshed out, mainly through SEC no-action letters and some court opinions.

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Blockchain Technology and the Capital Markets Explained by Laura Anthony, Esq.- http://bit.ly/2xSd7wr #LawCast

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Blockchain Technology and the Capital Markets Explained by Laura Anthony, Esq.- http://bit.ly/2xSd7wr #LawCast

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Despite the SEC’s efforts a whole cottage industry of unlicensed finders has developed, simply overshadowing efforts by regulators.


The broker-dealer registration process is arduous, including, for example, background checks, fingerprinting of personnel, minimum financial requirements, membership to SRO’s and ongoing regulatory and compliance requirements.
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