Broker-dealer

A Broker-Dealer is registered with the SEC, and subject to a range of regulations and restrictions, including the obligation to “recommend only those specific investments or overall investment strategies that are suitable for their customers.”

A Broker-Dealer is registered with the SEC, and subject to a range of regulations and restrictions, including the obligation to “recommend only those specific investments or overall investment strategies that are suitable for their customers.”

A broker-dealer may offer any of the types of securities commonly found through online crowdfunding investment and alternative investment platforms, including Reg D, Reg A+, and Reg CF.


Want to learn more but aren’t sure where to start? You can explore 112 crowdfunding investment platforms in our database and learn more about the nuts and bolts of crowdfunding and alternative investing on our blog. Did you know you can use a self-directed retirement account to invest in many alternative investments? Rocket Dollar makes it easy, and when you sign up using that link you'll be helping to support YieldTalk.