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California Finders Exemption Regulations Are Now Effective

Picture of Keith Paul Bishop Posted on July 14, 2017 by Keith Paul Bishop

The Commissioner of Business Oversight's final regulations implementing a new exemption for finders from the broker-dealer provisions of the Corporate Securities Law took effect on June 21, 2017.  See 10 CCR §§ 260.211.4, 260.211.5, 260.211.6 and...

260.211.4, 260.211.5, 260.211.6, 260.211.7, AB 667, broker-dealer, Broker-Dealers, Commissioner of Business Oversight, exemption, Section 25206.1

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30172DBAB0084D3A8F39D7AF0A8E79BC.ashxKeith Paul Bishop
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