GroundRules
17 CFR 227.401: Exemption.
Where this section sits in the code
- Title 17—Commodity and Securities Exchanges
- CHAPTER II—SECURITIES AND EXCHANGE COMMISSION
- PART 227—REGULATION CROWDFUNDING, GENERAL RULES AND REGULATIONS
- Subpart D—Funding Portal Regulation
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.
Collected 2026-08-27T02:24:31Z. Source file · JSON