Code · CFR · Title 17 — Commodity and Securities Exchanges · Part 227 — Regulation Crowdfunding, General Rules and Regulations · § 227.401

§ 227.401. Exemption.

39 words·~1 min read·/us/cfr/t17/s§ 227.401·

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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. 78o(a)(1)) in connection with its activities as a funding portal.

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Rules and Regulations
Final rule
Notices
Publication of list of rules scheduled for review

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U.S. Code

Registration and regulation of brokers and dealers
§ 78o

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cites case law

§ 227.401

Exemption.

Fed. Reg.×2

U.S.C.§ 78o

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