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Current Buzz:
Latest Deal Terms for Gilt Groupe, Inc.
by: Justin Byers, Business Intelligence Analyst
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Buzz Archive:
SEC Fires Warning Shot to Unregistered Finders
by Eden Rohrer and Brian Daughney of Haynes and Boone, LLP, 7/14/2009
The Securities and Exchange Commission (SEC) has gotten the attention of placement agents across the country. Last month, the SEC found two individuals and Ram Capital Resources, LLC in willful violation of the broker-dealer registration provisions of Section 15(a) of the Securities and Exchange Act. In this week's buzz, Brian Daughney and Eden Rohrer, Partners at Haynes & Boone, LLP, explain why they believe this ruling is a significant development.
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