SIE: 9.2.16.7. Nonregistered Foreign Finders

Taken from our SIE Online Guide

9.2.16.7. 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 finder is not required to register as a broker-dealer in the United States and is not subject to a disqualification.
• The finder is a foreign national (not a U.S. citizen) or foreign entity domiciled abroad.
• The custom

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