Using Finders to Raise Capital in Private Placements and Fund Investments: Navigating SEC Broker-Dealer Rules

October 6, 2015

Strafford CLE Webinar, US

McGuireWoods partners Dave Pankey and Anitra Cassas addressed legal pitfalls for securities issuers who utilize unregistered “finders” to solicit investors, the SEC’s restrictive position on permissible activities of finders, and the regulatory actions taken by the SEC regarding unregistered broker-dealers and related FINRA rules. The panel also discussed the SEC’s recent focus on broker-dealer issues involving finders in the private fund market and recent enforcement actions against fund managers. For information, please visit

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