Nov. 23, 2020
Dear Madam Secretary, I have a question regarding the Proposed Exemptive Order Granting Conditional Exemption from the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Finders: How, if at all, does the proposed exemption apply to Finders who are compensated by the investor (i.e., with a buy-side fee agreement) and not by the issuer? Thank you. Have a great Thanksgiving. Best regards, Carlo Carlo Porreca