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Is My Intermediary A “Finder” Or “Broker”? Using An Unregistered Broker Is A Perilous Trap

Companies seeking to raise capital from outside investors might turn to an intermediary to help them identify or connect with new investors. Before retaining an intermediary, however, it is imperative for the company to determine whether the intermediary is a finder or broker according to the United States Securities and Exchange Commission (the “SEC”).

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