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Broker-dealer communications · Reg D Rule 506(c)

Private placement deal flow, presented with discipline.

BrokerDealer.Agency manages communications between issuers of Regulation D Rule 506(c) offerings and FINRA member broker-dealer firms, delivering complete, well-organised materials so principals and registered representatives can conduct their own review.

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For financial professionals only. Not an offer to sell or a solicitation of an offer to buy any security.

Who we serve

The communications layer between issuers and member firms.

We help issuers of Rule 506(c) offerings present their materials to broker-dealer firms clearly, completely and on the firm’s terms, so every conversation starts with what a principal or due diligence team needs.

Broker-dealer firms

Built around the way principals review offerings.

For owners, Series 24 principals, due diligence officers and compliance teams. The decision to review, approve or decline is yours alone, and any participation is governed by your firm’s own agreements and policies.

  • Complete diligence packagesOffering documents, issuer information and supporting materials assembled before an introduction is made, not after.
  • Support for your reasonable investigationOrganised to support your firm’s own due diligence and supervisory review. We never substitute for it.
  • Direct lines to issuer and counselDiligence questions routed to the issuer and its advisers, with requests and responses tracked in one place.
  • Selective, relevant deal flowTell us your firm’s criteria. We share offerings that match, and nothing that doesn’t.
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Registered representatives

Access through your firm. Always.

Learn about offerings in our network and request materials, with every step routed through, and subject to, your member firm’s review and approval. We work with your supervising principal, never around them.

  • Firm-approved firstOfferings are made available to representatives only where their firm has completed its own review and chosen to participate.
  • Current, consistent materialsThe latest offering documents and approved materials, so you always work from the current version.
  • Accredited investors, verifiedRule 506(c) offerings are limited to accredited investors, and the issuer must take reasonable steps to verify each purchaser’s status.
  • Bring us to your principalInterested in an offering your firm hasn’t reviewed? We’ll prepare a package for your due diligence team.
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A communications agency, not a broker-dealer.

We do not sell securities, solicit investors or make recommendations. Securities are offered only by the issuer, directly or through registered broker-dealers, and only by means of the issuer’s offering documents.

How it works

How deal flow reaches your firm.

A deliberate sequence built around your firm’s review, from intake to data room to decision. Nothing reaches you incomplete.

  1. 01
    Intake

    Standards review

    Each issuer is assessed against our intake standards before any communication to a member firm.

  2. 02
    Diligence

    Diligence materials

    Issuer background, management information, financial statements and third-party reports, assembled for review.

  3. 03
    Documents

    Offering documents

    Private placement memorandum, subscription agreement and governing documents, prepared by the issuer’s counsel.

  4. 04
    Access

    Data room access

    Permissioned, versioned access for your principals and due diligence team, with requests logged and answered.

  5. 05
    Decision

    Your firm decides

    Approval, conditions or decline rest entirely with your firm, under your own supervisory procedures.

Compliance-first

Principles we hold to

  • Communications are directed to financial professionals, not the public.
  • No investment advice, recommendations or projections from us.
  • No performance or return claims in our communications.
  • Offers are made only through the issuer’s offering documents.
  • Accredited investor verification is required under Rule 506(c).
  • Compensation arrangements are disclosed in writing.
Offering standards

What an offering must have before it reaches you.

Our intake standards are about completeness and process, never about promising an outcome. If an issuer can’t meet them, we don’t present the offering.

01

Offering documents

A private placement memorandum or equivalent, with risk factors, prepared with securities counsel.

02

Rule 506(c) structure

A defined process for taking reasonable steps to verify accredited investor status.

03

Form D

Form D filed, or to be filed, with the SEC, along with applicable state notice filings.

04

Bad actor certifications

Rule 506(d) disqualification questionnaires completed for covered persons.

05

Financial information

Financial statements and supporting information appropriate to the issuer and offering.

06

Organised data room

Corporate, legal, financial and commercial materials, indexed and version-controlled.

07

Responsive issuer

Named contacts at the issuer and its counsel, available for diligence questions.

08

Balanced materials

No guarantees, no unsupported projections, and risks presented alongside any discussion of opportunity.

Intake standards describe our own process requirements. Meeting them is not an endorsement, recommendation or assessment of the merits of any offering, and does not replace a member firm’s independent due diligence.

Request deal flow

Tell us how your firm reviews offerings.

Share your firm’s criteria and review process. We respond personally, and share only offerings that fit, each subject to your firm’s own due diligence and approval.

For FINRA member firms and their registered personnel. Not an offer to sell or a solicitation of an offer to buy any security.

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Your firm's CRD number, as listed on FINRA BrokerCheck.
BrokerDealer.Agency

Broker-dealer communications and deal flow for Regulation D Rule 506(c) offerings. For financial professionals only.

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Contact

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Company

Aberdeen Equity Corp30 N Gould StSheridan, WY 82801United States

Important disclosures

Not a broker-dealer. BrokerDealer.Agency is operated by Aberdeen Equity Corp. Neither BrokerDealer.Agency nor Aberdeen Equity Corp is registered as a broker-dealer with the U.S. Securities and Exchange Commission (SEC) or any state, is a member of FINRA or SIPC, or is a registered investment adviser.

No sale of securities; no solicitation of investors. We do not offer, sell or recommend securities, do not solicit investors, do not handle investor funds or securities, and do not participate in the negotiation or execution of any securities transaction. Our services are limited to communications with, and coordination of materials for, FINRA member broker-dealer firms and their registered personnel.

Not an offer. Nothing on this website is an offer to sell, or a solicitation of an offer to buy, any security. Any offer will be made only by the issuer, directly or through registered broker-dealers, by means of the issuer’s confidential offering documents, and only in jurisdictions where permitted by law.

Rule 506(c): accredited investors only. Offerings made under Rule 506(c) of Regulation D are available only to “accredited investors” as defined in Rule 501(a). The issuer must take reasonable steps to verify that each purchaser is an accredited investor.

No investment advice. Information provided is for informational purposes for financial professionals and is not investment, legal, tax or accounting advice, or a recommendation regarding any security or strategy. Inclusion of an offering in our communications is not an endorsement of the issuer or the offering.

Member firm responsibility. Each broker-dealer firm is solely responsible for its own reasonable investigation and due diligence, supervisory review, and any recommendation it makes to its customers, including obligations under Regulation Best Interest and applicable FINRA rules.

Compensation. Compensation arrangements are disclosed in writing.

Risks of private placements. Private placements are speculative and involve a high degree of risk, including the possible loss of the entire investment. Securities are generally restricted and illiquid, with no public market and limits on transfer. Issuers may have limited operating histories, and investors may receive limited information and have limited rights. Private placements are not registered with or reviewed by the SEC or any state regulator. Past performance is not indicative of future results.

Forward-looking and third-party information. Materials may contain forward-looking statements or information supplied by issuers or third parties, which we have not independently verified and for which we make no representation as to accuracy or completeness.

Check the background of any broker-dealer firm or registered representative on FINRA BrokerCheck.

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