Tag Archives: Finder Fees

SEC Proposes Exemption for Finders

October 29, 2020Legal AlertsFinder Fees, SECDaniel LeGaye

The Securities and Exchange Commission (“SEC”) has proposed a conditional exemption from broker registration requirements for certain “finders” who assist issuers with raising capital in private markets from accredited investors. … Continue reading SEC Proposes Exemption for Finders →

California Modifies Exemption for Payment of Finder Fees

July 7, 2017Legal AlertsCalifornia, Finder FeesDaniel LeGaye

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 … Continue reading California Modifies Exemption for Payment of Finder Fees →