Series 26: Nonregistered Foreign Finders

Taken from our Series 26 Online Guide

Nonregistered Foreign Finders

A member may pay compensation to a nonregistered foreign finder based on the business of customers the finder directs to the member if the following conditions are met:

  • The member is assured that the finder is not required to register as a broker-dealer in the United States, nor is subject to a disqualification.
  • The finder is a foreign national (not a U.S. citizen) or foreign entity living abroad.

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