Publish Date Oct. 8, 2020
Video Running Time 3:46

On October 7, 2020, the SEC proposed a conditional exemption to permit “finders” to engage in limited activities on behalf of businesses seeking to raise investment capital without having to register as a broker. These so-called "finders," who may identify and in certain circumstances solicit potential investors, help to bridge the gap between small businesses that need capital and investors who are interested in supporting them.