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CALIFORNIA CORPORATE & SECURITIES LAW

California Finders Exemption Regulations Are Now Effective

The Commissioner of Business Oversight’s final regulations implementing a new exemption for finders from the broker-dealer provisions of the Corporate Securities Law took effect on June 21, 2017.  See 10 CCR §§ 260.211.4, 260.211.5, 260.211.6 and 260.211.7.  The Commissioner adopted these new regulations in response to the enactment of AB 667 (Wagner) in 2015.  AB 667 added…

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