27. Financial Regulatory Agencies · Minor
Exempt small finders from broker-dealer registration
Not started
“Exempt small and intermittent finders from broker–dealer registration requirements and provide a simplified registration process for private placement brokers.”
What has happened
- Not started
No action found yet. This entry is the starting point, not a finding.
- Action
- eliminate
- Object
- broker–dealer registration requirements for small and intermittent finders
- ID
- 2134