Family Office Insights: Broker-Dealer Registration and the Finder’s Exception

    View Authors November 2017

    Our global Family Office cross-practice team is pleased to present the next installment in our Family Office Insights series. The attached article, “Broker-Dealer Registration and the Finder’s Exception,” written by our Cleveland-based colleagues Dan Berick and Seth Osnowitz, offers insight into a potential inadvertent impact of the Securities Exchange Act of 1934 (Act) on family offices. Specifically, the article explores how family offices can avoid the burdens of broker-dealer registration and regulatory scrutiny under the Act.

    We hope that you find this Insight to be both informative and thought provoking and we look forward to keeping you up to date on key issues and trends affecting family offices around the globe, today and in the future.

    Please contact your principal lawyer or lawyers listed in this publication for additional information or for help on these matters from our global Family Office team.