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Maverick
Maverick, Attorney
Category: Business Law
Satisfied Customers: 5766
Experience:  20 years of professional experience
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What section of the SEC regulations provides

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What section of the SEC regulations provides for forfeiture of referral fees collected or paid in violation of 275.206(4)3
Submitted: 1 year ago.
Category: Business Law
Expert:  Maverick replied 1 year ago.
https://www.sec.gov/about/laws/iaa40.pdf
On pages 16 and 18 of the law at the link above you will find that the SEC has the power to order "disgorgement" as a remedy. This refers to the fees that you speak of. For an example of where the SEC did that see the link below:
http://www.wiggin.com/15299
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