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: Sept. 29, 2023