"Finders & Unregistered Broker-Dealers," an article by Eric Smith and Mario Richards, was published in the July-August 2018 issue of Deal Lawyers and in INSIGHTS. Here is an excerpt:
In the last few years, we have seen a number of important developments in the securities laws related to finders and broker-dealer registration requirements. We provide an overview of the broker-dealer registration requirement as it relates to finders who assist in matching issuers with investors or buyers and the latest developments in this area.