|
2004 SEC Small Business Forum Recommendations
|
DOC
|
74 KB
|
Sep/30/2004
|
|
ABA Letter to Advisory Committee 9-12-05
|
PDF
|
480 KB
|
Mar/30/2006
|
|
AM&AA - Business Broker Licensure Exhibits (8-25-04))
|
PDF
|
2.76 MB
|
Oct/13/2014
|
|
AM&AA - Fifty State Survey of Real Estate Broker Laws (8-25-04)
|
PDF
|
4.21 MB
|
Oct/13/2014
|
|
Agent of Issuer Case in CA Fall 2007
|
DOC
|
39 KB
|
Jun/25/2008
|
|
Agent of Issuer Case in CA Fall 2007
|
DOC
|
31 KB
|
Jun/25/2008
|
|
Alert.Perils of Using Unregistered Finders.10.14.13
|
PDF
|
94 KB
|
Apr/17/2014
|
|
American Business Brokers Association - State Licensing Laws (2014)
|
PDF
|
61 KB
|
Oct/13/2014
|
|
Brad Jacobsen and Olymia Fay Article - Finding a solution to the problem wtih Finders - Utah State Bar
|
PDF
|
61 KB
|
Jun/24/2009
|
|
Broker Aiding and Abetting Unregistered Securities - Klein v. Oppenheimer 3-24-06 - Email Note from Alan Parness
|
DOC
|
44 KB
|
May/15/2008
|
|
Broker Aiding and Abetting Unregistered Securities -Klein v Oppenheimer 3-24-06
|
PDF
|
173 KB
|
May/15/2008
|
|
Business and Securities Lawyer Practice - Nancy Fallon-Houle P C - Short Description - 5-8-14
|
DOC
|
24 KB
|
May/08/2014
|
|
California 31-06 Invitation for Comments on Limited Private Palcment Dealer Registraiton
|
PDF
|
45 KB
|
Apr/13/2007
|
|
California Cases on Finders
|
DOC
|
22 KB
|
Aug/16/2006
|
|
California PPBD Proposal 9-13-06
|
DOC
|
27 KB
|
Apr/13/2007
|
|
Capital Formation
|
PDF
|
228 KB
|
Sep/22/2004
|
|
Cleary Article - Shustak & Partners 2006 Whats in a Name, Use of Exempt Finders
|
PDF
|
68 KB
|
Jun/24/2009
|
|
Draft Regulation Regarding Private Placement Broker Dealer
|
DOC
|
99 KB
|
Jul/10/2006
|
|
FINRA Limited Corporate Financing BD Rules
|
PDF
|
124 KB
|
Mar/06/2014
|
|
FINRA RN 14-09 Proposed Rule Set for Limited Corporate Financing Brokers...
|
PDF
|
95 KB
|
Mar/06/2014
|
|
Finder Exception from Federal Broker-Dealer Registration
|
PDF
|
125 KB
|
Jun/05/2004
|
|
Finder Regulatory Comments 041906
|
PDF
|
249 KB
|
Jul/26/2006
|
|
Finder Survey
|
DOC
|
82 KB
|
Mar/23/2006
|
|
FinderProposalsWithPreamble
|
PDF
|
58 KB
|
Mar/23/2006
|
|
FinderRuleAdoption.07-25-06 For Circulation
|
PDF
|
21 KB
|
Jul/26/2006
|
|
Finders Fees Illegal to Unregistered Finders - Summary of Selected Articles 6-24-09
|
DOC
|
57 KB
|
Jun/25/2009
|
|
Finders Keepers - CFO Magazine Ronald Fink 2-3-2005
|
PDF
|
252 KB
|
Jun/24/2009
|
|
Furnari Article - When Raising Investment Capital, Can you Pay Someone a Finders Fee
|
PDF
|
64 KB
|
Jun/24/2009
|
|
Greenberg Traurig Finder Memo 5-2006
|
PDF
|
190 KB
|
Jun/24/2009
|
|
Hugh Makens Finder Artilce 9-2004
|
PDF
|
396 KB
|
Sep/20/2004
|
|
IA- Consultants to Employee Benefit Plans
|
DOC
|
41 KB
|
Apr/29/2002
|
|
IL Issuer Dealer Exemtion for Public or Tax Exempt, or Exept Securites, Sec 2.9, Reg 130.220, Reg 130.282
|
DOC
|
28 KB
|
May/16/2007
|
|
IL Issuer Dealer Exemtion for Public or Tax Exempt, or Exept Securites, Sec 2.9, Reg 130.220, Reg 130.282
|
DOC
|
18 KB
|
May/16/2007
|
|
Illinois 130-220 Regularly Engaged
|
DOC
|
24 KB
|
Nov/04/2004
|
|
Illinois 130-220 Regularly Engaged
|
DOC
|
11 KB
|
Nov/04/2004
|
|
Illinois Section 8 and Reg 2.9, 130.282
|
PDF
|
93 KB
|
Nov/04/2004
|
|
Illinois Securities Act Section 8
|
DOC
|
21 KB
|
Mar/11/2006
|
|
Illinois Securities Act Section 8A, Broker Dealer Exemption for Section 4 Transactions
|
DOC
|
21 KB
|
Mar/11/2006
|
|
Illinos Issuer Dealer Exemption from Definition of SALESPERSON 815 ILCS 5
|
DOC
|
22 KB
|
Mar/11/2006
|
|
Issuer-Dealer NSMIA 506 Thread June 2009 ABA State Regs Committee
|
DOC
|
46 KB
|
Jun/17/2009
|
|
Issuer-Dealer NSMIA 506 Thread June 2009 ABA State Regs Committee
|
DOC
|
36 KB
|
Jun/17/2009
|
|
Issuers as Broker Dealers - Summary of People v Cole 4-15-08
|
DOC
|
49 KB
|
Oct/04/2008
|
|
Issuers as Broker Dealers - Summary of People v Cole 4-15-08
|
DOC
|
39 KB
|
Oct/04/2008
|
|
Issuers as Dealers - California case People vs Cole - Email from Alan Parness 4-15-08
|
DOC
|
36 KB
|
Apr/24/2008
|
|
Issuers as Dealers - California case People vs Cole - Email from Alan Parness 4-15-08
|
DOC
|
23 KB
|
Apr/24/2008
|
|
Issuers as Dealers - California case People vs Cole
|
PDF
|
1.69 MB
|
Apr/24/2008
|
|
Klein v. Oppenheimer - Kansas Sup Ct. 3-24-06 aiding and abetting sale of unregistered securities
|
DOC
|
41 KB
|
Jul/02/2008
|
|
Lexology Article - 7-8-2008 SEC Actions Suggest Finder Scruity Heightented - SEC v Macgregor and Torsiello Capital
|
PDF
|
100 KB
|
Jun/24/2009
|
|
NASD Exam REquirements for PPBD
|
PDF
|
365 KB
|
Nov/14/2002
|
|
NASD Rule 1013
|
PDF
|
269 KB
|
Nov/14/2002
|
|
NASD Rule 1014
|
PDF
|
323 KB
|
Nov/14/2002
|
|
Nevada Business Broker License Website (2011-06-09)
|
PDF
|
129 KB
|
Oct/13/2014
|
|
Nevada Real Estate Division (2014)
|
PDF
|
128 KB
|
Oct/13/2014
|
|
PPBD Task Force Report of 3-6-06
|
DOC
|
40 KB
|
Apr/28/2008
|
|
Paul Anka No Action Letter - Text CCH
|
PDF
|
383 KB
|
Jun/24/2009
|
|
People v Cole 4-2008 Issuers as BDs
|
PDF
|
1.68 MB
|
Apr/15/2008
|
|
Petillion and Hiraide Artilce 6-1-05 Private Offerings Using Finders in CA - Not Permitted
|
PDF
|
139 KB
|
Jun/24/2009
|
|
Poumpouridis - Nixon Peabody - 1-23-08 Looks Like a Duck Finders or Unregistered Brokers
|
PDF
|
37 KB
|
Jun/24/2009
|
|
Private Placement BD Task Force Report - SjoquistJune22005ABATaskForceReport
|
DOC
|
407 KB
|
Nov/30/2007
|
|
Private Placement BD draft 6-13-06 masrekd to 6-12
|
PDF
|
0.97 MB
|
Aug/07/2006
|
|
Private Placement BD draft 6-13-06
|
PDF
|
889 KB
|
Aug/07/2006
|
|
Private Placement Broker Dealer 02-06 Report
|
DOC
|
42 KB
|
Mar/08/2006
|
|
Private Placement Broker Dealer Report and Recommendations 1-14-02
|
PDF
|
179 KB
|
Nov/14/2002
|
|
Proposed Form 1010EZ
|
DOC
|
43 KB
|
Sep/03/2002
|
|
Proposed Private Placement Broker Dealer Instructions
|
PDF
|
554 KB
|
Nov/14/2002
|
|
Proposed Reduction of Review Procedure for PPBDs
|
PDF
|
340 KB
|
Nov/14/2002
|
|
Report and REcommendatoin to PPBD Task Force
|
PDF
|
125 KB
|
Nov/14/2002
|
|
Rule 3a4-1 Issuer-Dealer Exemption, with NFH notes of Common Trips
|
DOC
|
54 KB
|
May/12/2006
|
|
Rule 3a4-1 and Rule 3(a)(39) chart analysis - updated 9-9-08
|
DOC
|
63 KB
|
Sep/09/2008
|
|
S. 1923 - H.R. 2274 - M&A Brokers - Compensation and Fee Permission - Highlights and History (2014-02-18)
|
PDF
|
79 KB
|
Mar/06/2014
|
|
S. 1923 - H.R. 2274 - M&A Brokers - Highlights and History (2014-02-18)
|
PDF
|
79 KB
|
Mar/06/2014
|
|
S. 1923 - H.R. 2274 M & A Brokers - Compensation and Fee Permission - HR Summary with Senate Bill (2014-02-26)
|
PDF
|
178 KB
|
Mar/06/2014
|
|
S. 1923 - H.R. 2274 Summary with Senate Bill (2014-02-26)
|
PDF
|
178 KB
|
Mar/06/2014
|
|
SEC Advisory Committee Finder Recommendation Adopted on 9-23-15
|
DOC
|
14 KB
|
Sep/28/2015
|
|
SEC Form BD
|
PDF
|
1.55 MB
|
Nov/14/2002
|
|
SEC No Acition Letter - Six Lawyers Letter - Finders Permitted to Take Fees on M & A Transaction 2-4-2014
|
PDF
|
862 KB
|
Mar/06/2014
|
|
SEC No Action Letter Issued to Six Lawyers for M&A Brokers Exemption - 1--31-2014, Revised 2-4-14
|
PDF
|
862 KB
|
Mar/06/2014
|
|
SEC No Action letter 2-6-01 Recites Finder Cases and Tests
|
DOC
|
44 KB
|
Apr/29/2002
|
|
SEC Small Business Advisory Committee Final Reports acspc-finalreport
|
PDF
|
7.70 MB
|
Apr/30/2006
|
|
SEC vs Kramer - Email cover note from Faith Colish 8-30-11
|
PDF
|
32 KB
|
Aug/30/2011
|
|
SEC vs Kramer - SEC Filed Appeal 8-19-11 to assert Finder is Engaged in Business
|
PDF
|
744 KB
|
Aug/30/2011
|
|
SEC vs Kramer - SEC brief of 8-19-11
|
PDF
|
216 KB
|
Aug/30/2011
|
|
SEC vs Kramer 8-2011 - Finder Held not Engaged in Business
|
PDF
|
17 KB
|
Aug/23/2011
|
|
SEC vs Kramer Cite 4-1-11, and SEC's Brumberg, Mackey and Wall 5-7-10 - SEC Finder Cases
|
PDF
|
30 KB
|
Apr/12/2014
|
|
SLK_TAM-#805950-v1-PPBD_Task_Force_Meeting_Materials_2007_08
|
PDF
|
820 KB
|
Sep/10/2007
|
|
Securities Law Institute - Capital Formation Via Private Palcments - Unregistereed Finders and General Solciation
|
PDF
|
52 KB
|
Jun/24/2009
|
|
Task Force Materials from 2007 August Meeting - Cover Note and TOC
|
DOC
|
34 KB
|
Oct/19/2007
|
|
Task Force on Privt Plcmt Brk Dealr Regist. 10-24-05
|
PDF
|
167 KB
|
Oct/24/2005
|
|
Texas FAQs - Business Brokers (2011-06-07)
|
PDF
|
80 KB
|
Oct/13/2014
|
|
Texas FAQs - Finders and Business Brokers (2011-06-07)
|
PDF
|
200 KB
|
Oct/13/2014
|
|
Texas FAQs - Finders and Business Brokers (2012-04-25)
|
PDF
|
85 KB
|
Oct/13/2014
|
|
Texas Finder and Business Broker Info
|
PDF
|
57 KB
|
Sep/30/2014
|
|
Texas FinderProposalsWithPreamble
|
PDF
|
58 KB
|
Mar/23/2006
|
|
Torsiello Capital 2008_30979 Case held contract with unlicensed firm was void
|
PDF
|
877 KB
|
Aug/25/2009
|
|
Whitman, Elizabeth - 2007 TIC-ing Time Bomb - 506 and Anka Meets 1031
|
PDF
|
31 KB
|
Jun/24/2009
|
|
dpny-22178006-v4-TX comment ltr blue sky
|
DOC
|
57 KB
|
Jul/26/2006
|
|
dpny-22218195-v10-Final draft submission of PPB regs
|
DOC
|
105 KB
|
Jul/20/2006
|
|
dpny-22218195-v11-Final draft submission of PPB regs
|
DOC
|
96 KB
|
Aug/31/2006
|
|
dpny-22218195-v6-Final draft submission of PPB regs
|
DOC
|
102 KB
|
Jun/13/2006
|
|
dpny-22218195-vDOC-Final draft submission of PPB regs
|
DOC
|
121 KB
|
Jun/13/2006
|
|
finders issue recommendation draft - acsec
|
PDF
|
33 KB
|
Sep/23/2015
|
