SIE: Nonregistered Foreign Finders

Taken from our SIE Online Guide

Nonregistered Foreign Finders

A member may pay compensation to a nonregistered foreign finder based on the business 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 domiciled abroad.
•

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