Compensation of Finders In The Sale Of California Securities
Compensation Practice The “finders” exemption, went into effect on January 1, 2016 at Corporations Code Section 25206.1. Finders who satisfy the requirements of the exemption can now receive transaction-based compensation on the sale of a security in California. The exemption is available to individuals (not otherwise registered as a broker-dealer or agent) who meet the […]
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