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Raising capital through placement agents

son engaged in the business of effecting transactions in securities for the account of others."

For purposes of this article, the key language is "in the business of effecting transactions." A finder is someone not in "the business of effecting transactions." Rather, finders infrequently bring investors and companies together, but that's all they can do. By law, a finder is not permitted ......

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Source:wistechnology.com By Matt Storms 10/26/06


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