Tag Archives: California

California Modifies Exemption for Payment of Finder Fees

The California Department of Business Oversight (“Department”) has modified Section 25206.1 of the California Corporation’s Code (“Code”) which provides a broker-dealer registration exemption for the payment of finder fees to individuals who introduce California investors to California securities issuers.  California Exemption Requires Certain Conditions Be Met- To qualify for the exemption, an individual has to … Continue reading California Modifies Exemption for Payment of Finder Fees