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Limited Finders Exemption- The SEC generally prohibits the payments of commissions or other transaction-based compensation to individuals or entities that assist in effecting transactions in securities, including a capital raise, unless that entity is a licensed broker-dealer.The SEC considers the registration of broker-dealers as vital to protecting prospective purchasers of securities and the marketplace as a whole and actively pursues and prosecutes unlicensed activity.The registration pr

Limited Finders Exemption

⏲ 3 min 91 sec ✓ 22-Aug-2017

Anthony, Linder u0026 Cacomanolis, PLLC

SEC Comment Letter

⏲ 4 minutes 22 seconds 👁 275

Zippy Point

18 Sources of SEC Guidance You Need to Worry About

⏲ 18 minutes 33 seconds 👁 14

An eight-year-old boy is one of just 11 people in the world with a rare genetic mutation.<br/><br/>Grayson, now eight, was put forward for blood tests when he was diagnosed with autism as a toddler.<br/><br/>He was then put on a trial after a meeting with his geneticist who looked at his genetic markers - including his nose, hair, feet and hands. <br/><br/>His family thought no more about it until they got a letter back last year to say he also has a single nucleotide duplication called Shank2.<br/><br/>This means he was born with a rare genetic mutation which changed the DNA alphabet within his gene. <br/><br/>His mum Rhiannon Bourne, 29, said there is \

⏲ 2:7 👁 18.6M

Researchvlog

‘No action’ letters: EU efficacy and accountability

⏲ 3 minutes 11 seconds 👁 134

Morrison Foerster

MoFo SEC Update: Shareholder Proposal No-Action Letters

⏲ 3 minutes 6 seconds 👁 126

Tesla's board of directors has responded to proxy advisory firm ISS, which recently urged investors to vote against ratifying Elon Musk's 2018 pay package ahead of Tesla's upcoming annual shareholders meeting. In a four-page letter, Tesla's board argues that ISS came to the \

Tesla's Board Fires Back at ISS Over Elon Musk's Compensation Package, Accusing Proxy Firm of Coming to 'Wrong Conclusion'

⏲ 0:40 👁 2.1M

Digital Asset Investor

SEC Will NEVER Call Ripple XRP A Security : Here's Why.

⏲ 5 minutes 33 seconds 👁 8.1K

FinLit

What does The Securities and Exchange Commission do?

⏲ 2 minutes 41 seconds 👁 37.3K

Pro-Palestine protestors have smashed and graffitied windows of branches of Barclays Bank. <br/><br/>Palestine Action said it attacked banks in Bristol and Manchester among other cities to demand it ‘divests from Israel’s weapons trade and fossil fuels’.<br/><br/>A spokesperson for Palestine Action said: “Barclays is funding the crises of climate collapse and genocide in Palestine.<br/><br/>“Decades of polite campaigning, petitions, letter writing and lobbying MPs have failed. <br/><br/>''We will continue to escalate until Barclays pulls its finger out and stops funding genocide and climate destruction.<br/><br/>Activists also sprayed the names of Palestinians killed in the Israeli military action in Gaza on the walls of the Barclays branch.<br/><br/>A spokesperson for Barclays said: “We provide vital financial services to US, UK and European public companies that supply defence products to Nato and its allies. <br/><br/>''Barclays does not directly invest in these companies.<br/><br/>\

Pro-Palestine protestors attack branches of Barclays Bank

⏲ 2:31 👁 540K

OTC Markets Group

Understanding the Impact of the SEC's Proposal to Amend Rule 15c2-11

⏲ 57 minutes 5 seconds 👁 2.2K

Matthew Weidner

Financing In an Automobile Purchase, Under TILA*

⏲ 34 minutes 4 seconds 👁 20.2K

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