Letter to Regulators: SEC Should Withdraw Proposed "Finders" Exemption to Broker-Dealer Regulation

The AFR Education Fund wrote a letter to the Securities and Exchange Commission calling on them to withdraw a proposal to exempt so-called “finders” from regulations governing brokers and dealers in financial markets.

The full letter is available here: AFREF Letter on Finders Proposal FINAL

Tagged with: broker-dealers, private markets, public markets, SEC, Securities and Exchange Commission, securities markets

Letter to Regulators: SEC Should Withdraw Proposed “Finders” Exemption to Broker-Dealer Regulation