This is for firms who are raising capital pursuant to any US securities regulations, including Reg’s A, D, CF, and S. SEC regulations, stemming from the Dodd Frank investor protection Act, states that issuers and their associated persons can NOT raise capital by selling securities if anyone is deemed to be a “bad actor”. Bad Actor checks must be completed on all “covered persons”, which according to the SEC includes every executive officer, director, and major shareholder (beneficial owner of 20%+ equity) in your company, as well as certain types of “promoters” and “solicitors”. This is an important anti-fraud and due diligence requirement to ensure disqualified persons do not raise funds. Part of any broker, bank or platform risk analysis procedures.
Click on the button below to download our "Compliance: Bad Actor Checks" brochure. This brochure lists items that are included in our Bad Actor Screening Process, which are required by SEC regulations and the Dodd-Frank investor protection Act.
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