“Finders,” or those who find capital for small businesses but are not necessarily registered broker-dealers, have operated in a regulatory gray area.
Small business
While larger businesses have more resources and are taking steps to protect themselves, the new campaign is aimed at owners of small and medium-sized businesses.
The SEC’s annual Small Business Forum is an event in which members of the public and private sectors provide feedback to improve capital-raising policy.
The meeting touched on potentialchanges to Regulation A and the possibility of exemptions from broker-dealer registration for “finders.”
The Australian Securities & Investments Commission’s latest actions and news, June 23 – 27, 2025.
The speech, delivered at the “SEC speaks” event, highlighted the importance of small business community engagement.
Companies House has made moves to improve transparency and ensure accuracy of information on registers.