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SEC Proposes Conditional Finders Exemption From Broker Registration

On Oct. 7, 2020, the Securities and Exchange Commission (SEC) proposed a conditional exemption from the broker registration requirements of Section 15(a) of Securities Exchange Act of 1934 to allow “finders” who are natural...more

Have You Thought About … Does Fiduciary Duty Require a COVID-19 Resurgence Plan?

The COVID-19 pandemic and its effect on global business may have been unexpected at the beginning of the year, but its effects are well known at this time. Members of a corporation’s board of directors, and those who manage...more

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