Broker Dealer
Allows issuance of unregistered securities pursuant to private placement activity, primarily via Regulation D, Regulation A+ and Regulation S.
BD framework enables sourcing and distribution securities to a syndicate of aligned partners (e.g. Registered Investment Advisors (RIAs)).
- Broker or Dealer selling corporate debt securities
- U.S. Government securities broker
- Non-Exchange member arranging for transactions in listed securities by exchange member
- Operates two alternative trading systems (ATS) One for equities and one for Bonds
Arkonis Capital CRD# 147798 SEC# 8-67928
