The California Department of Business Oversight has enacted final rules to implement an exemption from broker-dealer registration licensing requirements in California for individuals acting as “finders” in securities...more
8/10/2017
/ Broker-Dealer ,
Exceptions ,
Finder's Fees ,
Finders ,
Licensing Rules ,
New Rules ,
Registration Requirement ,
Securities ,
Securities Transactions ,
State and Local Government ,
Statement of Information