Page 17 - To Register or Not to Register: A Definitive Guide to Understanding the Broker Registration Requirement

Broker-dealers can serve as a trusted and neutral third-party to facilitate transactions between the company and investors. The involvement of a broker-dealer behind an o ering gives more credibility to the company and its o ering, since investors know that the broker-dealer has conducted due diligence before commencing general solicitation. Some broker-dealers may also host their own online fundraising platform for use by their clients.
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