Statement Of Information For Finder {DFPI-25206.1}

DFPI-25206.1 - STATEMENT OF INFORMATION FOR FINDER PURSUANT TO SECTION 25206.1 OF THE CALIFORNIA CORPORATIONS CODE.This form is required to: 1) file the initial Statement of Information for exemption as a finder from the broker-dealer requirements of the Corporate Securities Law of 1968, 2) annually file the renewal Statement of Information, 3) notify the Commissioner of Financial Protection and Innovation of any amendment to the Statement of Information, or 4) withdraw the exemption as a finder. Submit the completed form and filing fee to the Department of Financial Protection and Innovation, 651 Bannon Street, Suite 300, Sacramento, California, 95811. A natural person, e.g., individual, who does not meet the definition of a finder or the exemption requirements in Corporations Code section 25206.1 is subject to the broker-dealer provisions of Section 25210 of the Corporations Code, if the individual is acting as a broker-dealer as defined in Section 25004 or an agent as defined in Section 25003 of the Corporations Code and is not otherwise exempt from Section 25210 of the Corporations Code. An individual who meets the exemption requirements as a finder is subject to the prohibition against fraudulent or misleading acts in Corporations Code section 25401. www.FormsWorkflow.com