alert sign

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


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

Help us improve the DFPI website! Share your feedback.


Last updated: Jul 6, 2021 @ 2:03 pm