Finders

A “finder” is a natural person who, for direct or indirect compensation, introduces or refers one or more accredited investors, as that term is defined in Rule 501(a) of Regulation D under the Securities Act of 1933 (17 C.F.R. 230.501(a)), to an issuer or an issuer to one or more accredited investors, solely for the purpose of a potential offer or sale of securities of the issuer in an issuer transaction in this state, and who meet certain requirements as described in California Corporations Code Section 25206.1.

If you claim to be a finder, you shall file with the Commissioner before engaging in any activities described in subdivision (a) of the Code Section, (1) a Statement of Information with Sections I and IV completed, (2) a filing fee of $300.00 submitted to the Department of Financial Protection and Innovation, and (3) a completed Consent to Service of Process (Form 260.165).