broker or dealer

(2) National securities association membership For purposes of sections 78o(b)(8) and 78o–3 of this title , the term “broker or dealer” includes a funding portal and the term “registered broker or dealer” includes a registered funding portal, except to the extent that the Commission, by rule, determines otherwise, provided that a national securities association shall only examine for and enforce against a registered funding portal rules of such national securities association written specifically for registered funding portals.


15 USC § 78c(h)(2)

Scoping language

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