Series 14: 5.2.4.2. Nonregistered Foreign Finders

Taken from our Series 14 Online Guide

5.2.4.2. 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

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