Replies to post #38645 on Marijuana Inc (MAJI)

[SooS416]

They are not different as many private hedge funds fought for the broad classification when Frank Dodd came out and was the basis for the exemption.

He is broad definition from SEC

https://investorshub.advfn.com/boards/read_msg.aspx?message_id=150699791

And I doubt you have access to IARD to prove there are no filings

HOW TO ACCESS IARD
The FINRA Entitlement Program provides authorized users a secure means to access participating applications with a single user ID and password. Once an investment adviser (IA) firm completes the entitlement process, it will obtain access to the IARD system in order to register or file as an exempt reporting adviser via this secure system, which FINRA operates on behalf of the Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA).

The Entitlement Program requires that each firm designate a Super Account Administrator (SAA), who will have the authority to create, modify and delete account administrator and user accounts for FINRA-administered applications. IA firms seeking SEC-registration, state-registration or filing as an exempt reporting adviser must request access to IARD/Web CRD by completing and submitting the New Organization SAA Form and completing the entitlement process as outlined in the applicable Entitlement Information Packet: