BD- California Statement of Information for Finder Form

The CA Statement of Information for Finder Form should be filed by any natural person, who for direct or indirect compensation, introduces or refers one or more accredited investors to an issuer or an issuer to one or more accredited investors for the purpose of a potential offer or sale of securities of the issuer pursuant to CA Corporations Code Section 25206.1.  Members also downloaded SEC Form BD or California Broker-Dealer Registration Requirements Guide.

Version/Update: DBO-25206.1 /Rev. 09/17

Total Page Count/Format: 5/.pdf

Source/Author(s): CA Department of Business Oversight (DBO)