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Name File Type Size Last Modified
2004 SEC Small Business Forum Recommendations DOC
74 KB
Sep/30/2004
ABA Letter to Advisory Committee 9-12-05 PDF
480 KB
Mar/30/2006
AM&AA - Business Broker Licensure Exhibits (8-25-04)) PDF
2.76 MB
Oct/13/2014
AM&AA - Fifty State Survey of Real Estate Broker Laws (8-25-04) PDF
4.21 MB
Oct/13/2014
Agent of Issuer Case in CA Fall 2007 DOC
39 KB
Jun/25/2008
Agent of Issuer Case in CA Fall 2007 DOC
31 KB
Jun/25/2008
Alert.Perils of Using Unregistered Finders.10.14.13 PDF
94 KB
Apr/17/2014
American Business Brokers Association - State Licensing Laws (2014) PDF
61 KB
Oct/13/2014
Brad Jacobsen and Olymia Fay Article - Finding a solution to the problem wtih Finders - Utah State Bar PDF
61 KB
Jun/24/2009
Broker Aiding and Abetting Unregistered Securities - Klein v. Oppenheimer 3-24-06 - Email Note from Alan Parness DOC
44 KB
May/15/2008
Broker Aiding and Abetting Unregistered Securities -Klein v Oppenheimer 3-24-06 PDF
173 KB
May/15/2008
Business and Securities Lawyer Practice - Nancy Fallon-Houle P C - Short Description - 5-8-14 DOC
24 KB
May/08/2014
California 31-06 Invitation for Comments on Limited Private Palcment Dealer Registraiton PDF
45 KB
Apr/13/2007
California Cases on Finders DOC
22 KB
Aug/16/2006
California PPBD Proposal 9-13-06 DOC
27 KB
Apr/13/2007
Capital Formation PDF
228 KB
Sep/22/2004
Cleary Article - Shustak & Partners 2006 Whats in a Name, Use of Exempt Finders PDF
68 KB
Jun/24/2009
Draft Regulation Regarding Private Placement Broker Dealer DOC
99 KB
Jul/10/2006
FINRA Limited Corporate Financing BD Rules PDF
124 KB
Mar/06/2014
FINRA RN 14-09 Proposed Rule Set for Limited Corporate Financing Brokers... PDF
95 KB
Mar/06/2014
Finder Exception from Federal Broker-Dealer Registration PDF
125 KB
Jun/05/2004
Finder Regulatory Comments 041906 PDF
249 KB
Jul/26/2006
Finder Survey DOC
82 KB
Mar/23/2006
FinderProposalsWithPreamble PDF
58 KB
Mar/23/2006
FinderRuleAdoption.07-25-06 For Circulation PDF
21 KB
Jul/26/2006
Finders Fees Illegal to Unregistered Finders - Summary of Selected Articles 6-24-09 DOC
57 KB
Jun/25/2009
Finders Keepers - CFO Magazine Ronald Fink 2-3-2005 PDF
252 KB
Jun/24/2009
Furnari Article - When Raising Investment Capital, Can you Pay Someone a Finders Fee PDF
64 KB
Jun/24/2009
Greenberg Traurig Finder Memo 5-2006 PDF
190 KB
Jun/24/2009
Hugh Makens Finder Artilce 9-2004 PDF
396 KB
Sep/20/2004
IA- Consultants to Employee Benefit Plans DOC
41 KB
Apr/29/2002
IL Issuer Dealer Exemtion for Public or Tax Exempt, or Exept Securites, Sec 2.9, Reg 130.220, Reg 130.282 DOC
28 KB
May/16/2007
IL Issuer Dealer Exemtion for Public or Tax Exempt, or Exept Securites, Sec 2.9, Reg 130.220, Reg 130.282 DOC
18 KB
May/16/2007
Illinois 130-220 Regularly Engaged DOC
24 KB
Nov/04/2004
Illinois 130-220 Regularly Engaged DOC
11 KB
Nov/04/2004
Illinois Section 8 and Reg 2.9, 130.282 PDF
93 KB
Nov/04/2004
Illinois Securities Act Section 8 DOC
21 KB
Mar/11/2006
Illinois Securities Act Section 8A, Broker Dealer Exemption for Section 4 Transactions DOC
21 KB
Mar/11/2006
Illinos Issuer Dealer Exemption from Definition of SALESPERSON 815 ILCS 5 DOC
22 KB
Mar/11/2006
Issuer-Dealer NSMIA 506 Thread June 2009 ABA State Regs Committee DOC
46 KB
Jun/17/2009
Issuer-Dealer NSMIA 506 Thread June 2009 ABA State Regs Committee DOC
36 KB
Jun/17/2009
Issuers as Broker Dealers - Summary of People v Cole 4-15-08 DOC
49 KB
Oct/04/2008
Issuers as Broker Dealers - Summary of People v Cole 4-15-08 DOC
39 KB
Oct/04/2008
Issuers as Dealers - California case People vs Cole - Email from Alan Parness 4-15-08 DOC
36 KB
Apr/24/2008
Issuers as Dealers - California case People vs Cole - Email from Alan Parness 4-15-08 DOC
23 KB
Apr/24/2008
Issuers as Dealers - California case People vs Cole PDF
1.69 MB
Apr/24/2008
Klein v. Oppenheimer - Kansas Sup Ct. 3-24-06 aiding and abetting sale of unregistered securities DOC
41 KB
Jul/02/2008
Lexology Article - 7-8-2008 SEC Actions Suggest Finder Scruity Heightented - SEC v Macgregor and Torsiello Capital PDF
100 KB
Jun/24/2009
NASD Exam REquirements for PPBD PDF
365 KB
Nov/14/2002
NASD Rule 1013 PDF
269 KB
Nov/14/2002
NASD Rule 1014 PDF
323 KB
Nov/14/2002
Nevada Business Broker License Website (2011-06-09) PDF
129 KB
Oct/13/2014
Nevada Real Estate Division (2014) PDF
128 KB
Oct/13/2014
PPBD Task Force Report of 3-6-06 DOC
40 KB
Apr/28/2008
Paul Anka No Action Letter - Text CCH PDF
383 KB
Jun/24/2009
People v Cole 4-2008 Issuers as BDs PDF
1.68 MB
Apr/15/2008
Petillion and Hiraide Artilce 6-1-05 Private Offerings Using Finders in CA - Not Permitted PDF
139 KB
Jun/24/2009
Poumpouridis - Nixon Peabody - 1-23-08 Looks Like a Duck Finders or Unregistered Brokers PDF
37 KB
Jun/24/2009
Private Placement BD Task Force Report - SjoquistJune22005ABATaskForceReport DOC
407 KB
Nov/30/2007
Private Placement BD draft 6-13-06 masrekd to 6-12 PDF
0.97 MB
Aug/07/2006
Private Placement BD draft 6-13-06 PDF
889 KB
Aug/07/2006
Private Placement Broker Dealer 02-06 Report DOC
42 KB
Mar/08/2006
Private Placement Broker Dealer Report and Recommendations 1-14-02 PDF
179 KB
Nov/14/2002
Proposed Form 1010EZ DOC
43 KB
Sep/03/2002
Proposed Private Placement Broker Dealer Instructions PDF
554 KB
Nov/14/2002
Proposed Reduction of Review Procedure for PPBDs PDF
340 KB
Nov/14/2002
Report and REcommendatoin to PPBD Task Force PDF
125 KB
Nov/14/2002
Rule 3a4-1 Issuer-Dealer Exemption, with NFH notes of Common Trips DOC
54 KB
May/12/2006
Rule 3a4-1 and Rule 3(a)(39) chart analysis - updated 9-9-08 DOC
63 KB
Sep/09/2008
S. 1923 - H.R. 2274 - M&A Brokers - Compensation and Fee Permission - Highlights and History (2014-02-18) PDF
79 KB
Mar/06/2014
S. 1923 - H.R. 2274 - M&A Brokers - Highlights and History (2014-02-18) PDF
79 KB
Mar/06/2014
S. 1923 - H.R. 2274 M & A Brokers - Compensation and Fee Permission - HR Summary with Senate Bill (2014-02-26) PDF
178 KB
Mar/06/2014
S. 1923 - H.R. 2274 Summary with Senate Bill (2014-02-26) PDF
178 KB
Mar/06/2014
SEC Advisory Committee Finder Recommendation Adopted on 9-23-15 DOC
14 KB
Sep/28/2015
SEC Form BD PDF
1.55 MB
Nov/14/2002
SEC No Acition Letter - Six Lawyers Letter - Finders Permitted to Take Fees on M & A Transaction 2-4-2014 PDF
862 KB
Mar/06/2014
SEC No Action Letter Issued to Six Lawyers for M&A Brokers Exemption - 1--31-2014, Revised 2-4-14 PDF
862 KB
Mar/06/2014
SEC No Action letter 2-6-01 Recites Finder Cases and Tests DOC
44 KB
Apr/29/2002
SEC Small Business Advisory Committee Final Reports acspc-finalreport PDF
7.70 MB
Apr/30/2006
SEC vs Kramer - Email cover note from Faith Colish 8-30-11 PDF
32 KB
Aug/30/2011
SEC vs Kramer - SEC Filed Appeal 8-19-11 to assert Finder is Engaged in Business PDF
744 KB
Aug/30/2011
SEC vs Kramer - SEC brief of 8-19-11 PDF
216 KB
Aug/30/2011
SEC vs Kramer 8-2011 - Finder Held not Engaged in Business PDF
17 KB
Aug/23/2011
SEC vs Kramer Cite 4-1-11, and SEC's Brumberg, Mackey and Wall 5-7-10 - SEC Finder Cases PDF
30 KB
Apr/12/2014
SLK_TAM-#805950-v1-PPBD_Task_Force_Meeting_Materials_2007_08 PDF
820 KB
Sep/10/2007
Securities Law Institute - Capital Formation Via Private Palcments - Unregistereed Finders and General Solciation PDF
52 KB
Jun/24/2009
Task Force Materials from 2007 August Meeting - Cover Note and TOC DOC
34 KB
Oct/19/2007
Task Force on Privt Plcmt Brk Dealr Regist. 10-24-05 PDF
167 KB
Oct/24/2005
Texas FAQs - Business Brokers (2011-06-07) PDF
80 KB
Oct/13/2014
Texas FAQs - Finders and Business Brokers (2011-06-07) PDF
200 KB
Oct/13/2014
Texas FAQs - Finders and Business Brokers (2012-04-25) PDF
85 KB
Oct/13/2014
Texas Finder and Business Broker Info PDF
57 KB
Sep/30/2014
Texas FinderProposalsWithPreamble PDF
58 KB
Mar/23/2006
Torsiello Capital 2008_30979 Case held contract with unlicensed firm was void PDF
877 KB
Aug/25/2009
Whitman, Elizabeth - 2007 TIC-ing Time Bomb - 506 and Anka Meets 1031 PDF
31 KB
Jun/24/2009
dpny-22178006-v4-TX comment ltr blue sky DOC
57 KB
Jul/26/2006
dpny-22218195-v10-Final draft submission of PPB regs DOC
105 KB
Jul/20/2006
dpny-22218195-v11-Final draft submission of PPB regs DOC
96 KB
Aug/31/2006
dpny-22218195-v6-Final draft submission of PPB regs DOC
102 KB
Jun/13/2006
dpny-22218195-vDOC-Final draft submission of PPB regs DOC
121 KB
Jun/13/2006
finders issue recommendation draft - acsec PDF
33 KB
Sep/23/2015

Contact Nancy Fallon-Houle at nfallon@velocitylaw.com or 630-963-0439 x22 (direct), or staff at 630-598-0400 (main)
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