Without much fanfare the legislature passed and the governor signed Assembly Bill No. 667 In October 2015. California is now at the forefront of finders laws across the U.S. The question in broad terms is how to or whether to regulate persons who assist businesses in the financing process but who do not fit in…

Based on input from the State Bar of the California, a bill (AB 667) creating an exemption for finders within California is working its ways through the halls of Sacramento. This is a promising development in an area full of uncertainty. The SEC takes the view that stands for the proposition that anyone, person or…

Since the 19th century companies have used third parties, whether individuals or companies, in their fund raising efforts. Today, companies ranging in size from start-ups to private equity funds rely on finders to help them raise money. Overall, this has been positive for capital formation, especially on the lower end of things. Nevertheless, a minority…

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