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Expert Analysis

The SEC Stance On Transaction-Based Compensation

Law360 ( June 28, 2010, 6:21 PM EDT) -- For many years, people who assist companies either in finding investors or a purchaser for the business have been advised that, if they only make introductions and do not otherwise participate actively in the transaction, they should be able to avoid registering as a broker under Section 15 of the Securities Exchange Act of 1934, as amended (the "Exchange Act")....

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