This podcast episode, “How to Legally Compensate Capital Raisers and Finders and What Happens When You Don’t,” is based on a chapter in host Kim Lisa Taylor, Esq.’s new book, available on May 11, 2023.
The goal of this episode is to help capital raisers understand these topics and how to use them to their advantage while avoiding any legal consequences.
Episode at a glance:
- What is a securities broker-dealer?
- What are finder’s fees?
- How to develop pre-existing substantive relationships before you make offers to investors under Rule 506(b)
- What is Regulation D Rule 506(c) and what does it mean?
- Who is entitled to the exemption from broker-dealer registration?
- Should you use the Regulation D, Rule 506(b) or Rule 506(c) exemption for your deal?