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Broker-Dealer Finder Exemption Regulations (Assembly Bill 667, Chapt. 743, Stats. 2015)

NOTICE OF PROPOSED REGULATIONS:

The Department is proposing to modify the proposed regulations under the Corporate Securities Law of 1968. The proposed regulations would adopt rules to implement a new exemption for finders from the broker-dealer requirements.

A copy of the Notice of Modification, and 15-Day text can be found on the DBO’s website here.

The deadline to submit comments is April 14, 2017.

Comments may be emailed to regulations@dbo.ca.gov.

Last updated: Jul 7, 2019 @ 1:06 am