Digital Securities FAQ
What are U.S. Regulatory Holder Count Limits?

U.S. regulations limit the number of U.S. holders for certain types of securities and Issuers have the discretion to further limit holder counts.

If a Security is at its limit for U.S. holders, U.S. Users will only be able to bid if they are already holders of the security. Bids will not be accepted from U.S. Users not currently holders of the security until the holder count is below its limit.

Any open bid orders by U.S. Users not currently holders of the security will be cancelled when a security reaches its U.S. holder limit.

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What is difference between Openfinance, Harbor, Securitize and Polymath?

Openfinance is a registered and licensed trading platform.  Harbor, Securitize and Polymath are issuance platforms.  We have partnered with all three.

Why are Canadians currently not being approved?

Canadian securities regulations prevent U.S. broker/dealers from trading with Canadian citizens unless they are registered as a broker/dealer in Canada. Currently, Openfinance Securities, LLC is not registered in Canada and is not affiliated with a Canadian broker/dealer.

Are the securities traded on Openfinance reporting to the SEC on a quarterly or annual basis?

This depends on the type of registration or exemption the issuer has used.  Please check with the issuer for the most current information.

How do I open a user account for an entity (Corporation, Limited Partnership, etc.)?

To open an entity account, you must first create an individual account. This individual will be designated as the authorized trader for the entity.   Upon completing your individual Investor Passport, you will be given the opportunity to add and entity account.

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