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Expert Analysis

5 Areas SEC 'Finders' Proposal Needs More Clarity

By Peter LaVigne, Nick Losurdo and Jana Steenholdt (October 26, 2020, 1:44 PM EDT) -- For years, lawyers in the securities bar have asked the U.S. Securities and Exchange Commission to provide some guidance or structure in the area of finders: people who identify potential investors to securities issuers, like private companies and investment funds, but are not registered as brokers....

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