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Educational Resources on Finders Proposed Exemptive Order

Oct. 7, 2020

As part of the Office of the Advocate for Small Business Capital Formation’s effort to encourage feedback from small businesses, their investors, and other small business marketplace participants on the impact of the Commission’s October 2020 Finders Proposed Exemptive Order granting a conditional exemption from broker registration for finders, we created two educational resources:

  •   a short video that provides a brief, plain English overview of the proposal, and
  • an overview chart that illustrates key permissible activities of Tier I and Tier II Finders.

Interested businesses and investors are encouraged to share their feedback on the proposed rules with the Commission by submitting comments.  Our Office created an overview video exploring how easy it can be to use your voice to help shape the future of capital raising.

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