FINRA Proposed Limited Registration For Capital Finders

The Financial Industry Regulatory Authority (FINRA) has proposed a limited form of registration for persons and organizations involved in finding capital for business deals. The title for such brokers would be “Limited Corporate Financing Brokers”, and the proposal is Regulatory Notice 14-09, available at  http://www.finra.org/Industry/Regulation/Notices/2014/P449587 “Finders” regulation has been an active topic of conversation in…