OCIE Alert Discusses Compliance Deficiencies
The Office of Compliance Inspections and Examinations (“OCIE”) recently sent out an alert highlighting the deficiencies regarding Rule 206(4)-7 (the…
Read MoreMonth: November 2020
SEC Proposes New Exemptions to Expand the Scope of “Finders”
In October 2020, the U.S. Securities and Exchange Commission (“SEC”) proposed an order which could expand when/what “finders” are permitted…
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