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Directory of 3rd Party Resources:
Legal Regulations
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SEC Broker Dealer Regulations,
Professional fundraising--acting as an broker/intermediary to raise funds or sell companies is a highly regulated activity. In the U.S. all fundraisers must be licensed. The Securities Exchange Act of 1934 ("Exchange Act" or "Act") governs the way in which the nation's securities markets and its brokers and dealers operate. This guide to summarizes some of the significant provisions of the Act and its rules. You will find information about whether you need to register as a broker-dealer and how you can register, as well as what standards of conduct and financial responsibility rules broker-dealers must follow.
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SEC Regulation D Offerings,
Under the Securities Act of 1933, any offer to sell securities must either be registered with the SEC or meet an exemption. Regulation D (or Reg D) contains three rules providing exemptions from the registration requirements, allowing some smaller companies to offer and sell their securities without having to register the securities with the SEC.
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