Why do I need a FINRA Broker-Dealer?

Broker-dealers are an important element of the fundraising process, and selecting the right one is crucial to your success. Some states require issuers to work with a broker-dealer to offer securities in their jurisdictions under Regulation A+. This permits issuers to stay in compliance with the SEC and other regulatory bodies. Working with a FINRA-registered broker-dealer will also provide potential investors more confidence in your operations’ compliance.

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