17 C.F.R. § 227.401
Current through October 31, 2024
A funding portal that is registered with the Commission pursuant to § 227.400 is exempt from the broker registration requirements of section 15(a)(1) of the Exchange Act (15 U.S.C. 78 o(a)(1)) in connection with its activities as a funding portal.
17 C.F.R. §227.401