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Broker-Dealer Finder Exemption Regulations (Assembly Bill 667, Chapt. 743, Stats. 2015) – 2016


Broker-Dealer Finder Exemption

The DBO has filed a Notice of Rulemaking Action with the Office of Administrative Law. The proposed regulations would adopt the requirements for individuals to file for the new exemption for finders from the broker-dealer requirements under the Corporate Securities Law of 1968. The proposed regulations also provide the forms and procedures to annually renew or withdraw the exemption, and the recordkeeping requirements for finders.

A copy of the Notice, Initial Statement of Reasons and proposed text can be found on the DBO’s website here.

The deadline to submit comments is July 15, 2016.

Comments may be emailed to