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Broker -Dealer registration

The registration system for a Kikuhisa broker-dealer covers the entire life cycle of a transaction, from meeting initial membership requirements to upgrading and renewing its registration. 

Capital acquisition brokers

CAB’s are basically the companies that carry out restricted activities and private equity firms are briefed on raising capital and corporate restructuring, and serving as placement agents, within limited terms, for the selling of unregistered securities to institutional investors. Among other items, businesses that chose to be regulated by the CAB rule set are not allowed to hold or retain customer accounts, control funds or securities of customers, accept trading orders from customers, or participate in proprietary trading or market-making.

Individuals

If you are involved in your firm’s securities business which includes salespeople, division managers, division supervisors, partners, officers and directors, you must be licensed with Kikuhisa. To demonstrate competence in your specific securities operations, you are expected to pass qualification examinations. 

Funding Portals

In order to assess compliance with Kikuhisa’s funding portal rules and SEC criteria, Kikuhisa periodically reviews funding portal members. In the first 12 months of registration, and no less often than once every four years thereafter, Kikuhisa conducts assessments of each funding portal. Furthermore, FINRA performs ongoing monitoring of the activities of funding portals.