Other Commission Orders, Notices, and Information Rule

Certain Broker-Dealer Practices

Overview

ORDER UNDER RULES 262(b)(2), 506(d)(2)(ii), AND 602(e) OF THE SECURITIES ACT OF 1933 AND RULE 503(b)(2) OF REGULATION CROWDFUNDING GRANTING WAIVERS OF THE DISQUALIFICATION PROVISIONS OF RULES 262(a)(4), 506(d)(1)(iv), AND 602(c)(3) OF THE SECURITIES ACT OF 1933 AND RULE 503(a)(4)(ii) OF REGULATION CROWDFUNDING

Last Reviewed or Updated: Aug. 8, 2023