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doc 		Finders Fees Illegal to Unregistered Finders - Summary of Selected Articles 6-24-09
Last Modified on Jun/25/2009
56.50 KB


pdf 		Lexology Article - 7-8-2008 SEC Actions Suggest Finder Scruity Heightented - SEC v Macgregor and Torsiello Capital
Last Modified on Jun/24/2009
99.89 KB


pdf 		Furnari Article - When Raising Investment Capital, Can you Pay Someone a Finders Fee
Last Modified on Jun/24/2009
64.45 KB


pdf 		Paul Anka No Action Letter - Text CCH
Last Modified on Jun/24/2009
383.32 KB


doc 		Task Force Materials from 2007 August Meeting - Cover Note and TOC
Last Modified on Oct/19/2007
34.00 KB


pdf 		Finders Keepers - CFO Magazine Ronald Fink 2-3-2005
Last Modified on Jun/24/2009
251.93 KB


pdf 		Securities Law Institute - Capital Formation Via Private Palcments - Unregistereed Finders and General Solciation
Last Modified on Jun/24/2009
52.15 KB


pdf 		Finder Regulatory Comments 041906
Last Modified on Jul/26/2006
248.63 KB


doc 		Rule 3a4-1 and Rule 3(a)(39) chart analysis - updated 9-9-08
Last Modified on Sep/09/2008
63.00 KB


pdf 		Whitman, Elizabeth - 2007 TIC-ing Time Bomb - 506 and Anka Meets 1031
Last Modified on Jun/24/2009
30.86 KB


pdf 		ABA Letter to Advisory Committee 9-12-05
Last Modified on Mar/30/2006
480.47 KB


doc 		Rule 3a4-1 Issuer-Dealer Exemption, with NFH notes of Common Trips
Last Modified on May/12/2006
54.00 KB


pdf 		Poumpouridis - Nixon Peabody - 1-23-08 Looks Like a Duck Finders or Unregistered Brokers
Last Modified on Jun/24/2009
36.88 KB


pdf 		FinderProposalsWithPreamble
Last Modified on Mar/23/2006
58.45 KB


pdf 		Hugh Makens Finder Artilce 9-2004
Last Modified on Sep/20/2004
396.28 KB


pdf 		Petillion and Hiraide Artilce 6-1-05 Private Offerings Using Finders in CA - Not Permitted
Last Modified on Jun/24/2009
138.69 KB


pdf 		SEC Small Business Advisory Committee Final Reports acspc-finalreport
Last Modified on Apr/30/2006
8,072,999.00 KB


pdf 		Finder Exception from Federal Broker-Dealer Registration
Last Modified on Jun/05/2004
125.30 KB


doc 		dpny-22218195-v11-Final draft submission of PPB regs
Last Modified on Aug/31/2006
96.00 KB


pdf 		Brad Jacobsen and Olymia Fay Article - Finding a solution to the problem wtih Finders - Utah State Bar
Last Modified on Jun/24/2009
60.53 KB


pdf 		Greenberg Traurig Finder Memo 5-2006
Last Modified on Jun/24/2009
190.29 KB


pdf 		Texas FinderProposalsWithPreamble
Last Modified on Mar/23/2006
58.45 KB


pdf 		Illinois Section 8 and Reg 2.9, 130.282
Last Modified on Nov/04/2004
92.56 KB


doc 		Private Placement Broker Dealer 02-06 Report
Last Modified on Mar/08/2006
41.50 KB


pdf 		FinderRuleAdoption.07-25-06 For Circulation
Last Modified on Jul/26/2006
20.63 KB


pdf 		Proposed Reduction of Review Procedure for PPBDs
Last Modified on Nov/14/2002
340.03 KB


pdf 		NASD Rule 1013
Last Modified on Nov/14/2002
268.92 KB


pdf 		NASD Rule 1014
Last Modified on Nov/14/2002
322.51 KB


pdf 		SEC Form BD
Last Modified on Nov/14/2002
1,620,734.00 KB


pdf 		NASD Exam REquirements for PPBD
Last Modified on Nov/14/2002
364.99 KB


pdf 		Proposed Private Placement Broker Dealer Instructions
Last Modified on Nov/14/2002
553.66 KB


doc 		Proposed Form 1010EZ
Last Modified on Sep/03/2002
43.00 KB


doc 		SEC No Action letter 2-6-01 Recites Finder Cases and Tests
Last Modified on Apr/29/2002
44.00 KB


pdf 		Capital Formation
Last Modified on Sep/22/2004
228.28 KB


doc 		IA- Consultants to Employee Benefit Plans
Last Modified on Apr/29/2002
40.50 KB


doc 		Illinois Securities Act Section 8
Last Modified on Mar/11/2006
20.50 KB


doc 		Illinos Issuer Dealer Exemption from Definition of SALESPERSON 815 ILCS 5
Last Modified on Mar/11/2006
21.50 KB


doc 		Klein v. Oppenheimer - Kansas Sup Ct. 3-24-06 aiding and abetting sale of unregistered securities
Last Modified on Jul/02/2008
41.00 KB


doc 		Agent of Issuer Case in CA Fall 2007
Last Modified on Jun/25/2008
39.00 KB


pdf 		Broker Aiding and Abetting Unregistered Securities -Klein v Oppenheimer 3-24-06
Last Modified on May/15/2008
173.00 KB


pdf 		Task Force on Privt Plcmt Brk Dealr Regist. 10-24-05
Last Modified on Oct/24/2005
167.17 KB


pdf 		California 31-06 Invitation for Comments on Limited Private Palcment Dealer Registraiton
Last Modified on Apr/13/2007
45.33 KB


doc 		California Cases on Finders
Last Modified on Aug/16/2006
21.50 KB


doc 		California PPBD Proposal 9-13-06
Last Modified on Apr/13/2007
27.00 KB


doc 		dpny-22178006-v4-TX comment ltr blue sky
Last Modified on Jul/26/2006
56.50 KB


doc 		dpny-22218195-v10-Final draft submission of PPB regs
Last Modified on Jul/20/2006
104.50 KB


doc 		dpny-22218195-v6-Final draft submission of PPB regs
Last Modified on Jun/13/2006
102.00 KB


doc 		dpny-22218195-vDOC-Final draft submission of PPB regs
Last Modified on Jun/13/2006
121.00 KB


doc 		Draft Regulation Regarding Private Placement Broker Dealer
Last Modified on Jul/10/2006
98.50 KB


doc 		IL Issuer Dealer Exemtion for Public or Tax Exempt, or Exept Securites, Sec 2.9, Reg 130.220, Reg 130.282
Last Modified on May/16/2007
28.00 KB


doc 		Illinois 130-220 Regularly Engaged
Last Modified on Nov/04/2004
24.00 KB


doc 		Illinois Securities Act Section 8A, Broker Dealer Exemption for Section 4 Transactions
Last Modified on Mar/11/2006
20.50 KB


doc 		Issuer-Dealer NSMIA 506 Thread June 2009 ABA State Regs Committee
Last Modified on Jun/17/2009
45.50 KB


doc 		Issuers as Broker Dealers - Summary of People v Cole 4-15-08
Last Modified on Oct/04/2008
49.00 KB


doc 		Issuers as Dealers - California case People vs Cole - Email from Alan Parness 4-15-08
Last Modified on Apr/24/2008
36.00 KB


pdf 		Issuers as Dealers - California case People vs Cole
Last Modified on Apr/24/2008
1,769,720.00 KB


pdf 		People v Cole 4-2008 Issuers as BDs
Last Modified on Apr/15/2008
1,766,115.00 KB


doc 		PPBD Task Force Report of 3-6-06
Last Modified on Apr/28/2008
39.50 KB


pdf 		Private Placement BD draft 6-13-06 masrekd to 6-12
Last Modified on Aug/07/2006
1,017,272.00 KB


pdf 		Private Placement BD draft 6-13-06
Last Modified on Aug/07/2006
889.09 KB


doc 		Private Placement BD Task Force Report - SjoquistJune22005ABATaskForceReport
Last Modified on Dec/01/2007
406.50 KB


pdf 		SLK_TAM-#805950-v1-PPBD_Task_Force_Meeting_Materials_2007_08
Last Modified on Sep/11/2007
819.82 KB


doc 		Finder Survey
Last Modified on Mar/24/2006
82.00 KB


pdf 		Private Placement Broker Dealer Report and Recommendations 1-14-02
Last Modified on Nov/14/2002
179.40 KB


pdf 		Report and REcommendatoin to PPBD Task Force
Last Modified on Nov/14/2002
125.12 KB


doc 		Broker Aiding and Abetting Unregistered Securities - Klein v. Oppenheimer 3-24-06 - Email Note from Alan Parness
Last Modified on May/15/2008
43.50 KB


pdf 		Cleary Article - Shustak & Partners 2006 Whats in a Name, Use of Exempt Finders
Last Modified on Jun/24/2009
67.93 KB


doc 		2004 SEC Small Business Forum Recommendations
Last Modified on Sep/30/2004
73.50 KB

Contact Nancy Fallon-Houle at nfallon@nfhlaw.com, or staff at 630-598-0400 (main) or Nancy at 630-963-0439 (direct)
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