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Code · CFR · Title 17 — Commodity and Securities Exchanges · Part 227 — Regulation Crowdfunding, General Rules and Regulations · § 227.403

§ 227.403. Compliance.

114 words·~1 min read·/us/cfr/t17/s§ 227.403·

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(a)Policies and procedures. A funding portal must implement written policies and procedures reasonably designed to achieve compliance with the federal securities laws and the rules and regulations thereunder relating to its business as a funding portal.
(b)Privacy. A funding portal must comply with the requirements of part 248 of this chapter as they apply to brokers.
(c)Inspections and examinations. A funding portal shall permit the examination and inspection of all of its business and business operations that relate to its activities as a funding portal, such as its premises, systems, platforms, and records by representatives of the Commission and of the registered national securities association of which it is a member.
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§ 227.403
Compliance.
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