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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PE & VC Overview Package (Limited, 3-Month Access) Cost: $195.00
Single User - One Year of Complete Access (Best Value) Cost: $495.00
Single User - One Year of Complete Access (Incl. 1 Month Valuation & Deal Terms database Access) Cost: $595.00