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- Title
CRACKING THE PROBLEM OF FINDERS—AN EMPIRICAL AND COMPUTATIONAL ANALYSIS.
- Authors
Chertok, Seth
- Abstract
The article discusses the legal aspects of securities industry finders who are described as financial intermediaries (brokers) such as consultants, certified public accountants, and attorneys who locate and bring together parties to a securities-based business opportunity in America. It states that finders often help small businesses with capital formation. Broker-dealer regulation under the U.S. Securities Exchange Act of 1934 is examined, along with America's Investment Advisers Act of 1940.
- Subjects
UNITED States; BROKERS; SECURITIES industry laws; LEGAL status of consultants; SMALL business finance; LEGAL status of investment advisors; SAVINGS; LEGAL status of accountants; LAWYERS; LEGAL status of brokers
- Publication
Wake Forest Law Review, 2016, Vol 51, Issue 5, p1021
- ISSN
0043-003X
- Publication type
Article