Buyside engagement or intro fee (legal question)

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July 27, 2024

by a searcher from Columbia University - Columbia Business School in Jacksonville, FL, USA

Do you need to be SEC or FINRA registered to charge a Lehman Fee for a business introduction to a buyer? I'm curious if I need to have a Series 63 or 79 to engage in this activity.

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Reply by an intermediary
from The University of Chicago in Chicago, IL, USA
A site called Search Funder has many discussions in detail on this subject.
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Reply by a professional
from University of Southern California in North Palm Beach, FL, USA
Why not ask her qualified attorney?
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