17 CFR 227.403
§ 227.403 Compliance.
United States · 17 CFR — Commodity and Securities Exchanges · Status: effective
Cite this
- Citation
- 17 CFR 227.403, § 227.403 Compliance, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/68394
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Full text
(a) Policies and procedures. A funding portal must implement written policies and procedures reasonably designed to achieve compliance with the federal securities laws and the rules and regulations thereunder relating to its business as a funding portal.
(b) Privacy. A funding portal must comply with the requirements of part 248 of this chapter as they apply to brokers.
(c) Inspections and examinations. A funding portal shall permit the examination and inspection of all of its business and business operations that relate to its activities as a funding portal, such as its premises, systems, platforms, and records by representatives of the Commission and of the registered national securities association of which it is a member.
Legislative history
This is a federal regulation, adopted through agency rulemaking under the Administrative Procedure Act — not enacted by a recorded vote of Congress.