Americans for Financial Reform

Government Category: Comments & Letters to Regulators

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

By creating a blanket exemption for a broadly defined group of “finders” to effectively act as solicitors and brokers in private investment markets without being subject to any of the requirements on registered broker-dealers as regards disclosure, qualifications, obligations to customers, pricing, record-keeping, business conduct, financial resources, or compliance with FINRA rules, the Commission would abrogate its responsibilities to protect investors and to maintain fair and orderly markets.

Sign-on Letter: 77 orgs call on DeVos to extend the federal student loan suspension 

77 organizations call on Education Secretary DeVos to extend the federal student loan suspension  Today, 77 community, civil rights, consumer, and student advocacy organizations sent a letter to Education Secretary Betsy DeVos, urging her to extend the suspension of payments on federal student loans through September 2021.  The current suspension on federal student loans is set