Registered Broker-Dealer Partner -- Regulation Crowdfunding

Job Description

Registered Broker-Dealer Partner — Regulation Crowdfunding

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Deep Market Making Inc. (DeepMM)

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Contract engagement | United States | Remote

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THE ENGAGEMENT

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DeepMM seeks an SEC-registered, FINRA-member broker-dealer firm to serve as the sole intermediary for a proposed Regulation Crowdfunding offering through a Rule 3a-9 crowdfunding vehicle. Firms and authorized representatives applying on behalf of their firms are welcome.

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This is a firm-level contract services engagement, not a salaried employee position. Individual securities registrations alone are insufficient. We seek an active operating and compliance partner—not a licensing-only arrangement. Applicants are not required to invest or pay to apply.

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DeepMM develops AI-powered corporate-bond pricing and predictive technology. We will develop and maintain the branded offering website. The selected intermediary must exercise the required supervision and control over the regulated offering and transaction workflow, with responsibilities documented before launch.

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COMPENSATION

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Fixed fee: $25,000, payable entirely in the same class of offering securities issued to investors—not cash—with the same terms, conditions, and rights, subject to legal approval and definitive agreements. This is securities-based compensation for services, not a $25,000 cash salary or cash investment. Securities are illiquid, their value is not guaranteed, and they may lose their entire value. Any third-party expenses or proposed additional cash charges must be disclosed in the application and separately approved; no additional charges are committed by this listing.

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RESPONSIBILITIES

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• Serve as the sole registered Reg CF intermediary and lead firm-level approval of the offering and its operating procedures.

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• Conduct or oversee issuer diligence and investor onboarding, including applicable identity, sanctions/AML, education, and investment-limit procedures.

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• Review and supervise the custom-built website, disclosures, investor communications, public Q&A, and commitment workflow.

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• Coordinate an approved escrow arrangement, funding reconciliation, cancellations, material-change reconfirmations, refunds, and closing.

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• Establish compliant recordkeeping, audit trails, notices, and transaction confirmations.

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• Support a crowdfunding vehicle holding DeepMM's underlying SAFE, working with securities counsel on the structure and mirrored investor rights.

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• Agree on operational responsibilities, third-party providers, launch requirements, and post-close obligations.

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QUALIFICATIONS

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• An identified SEC-registered, FINRA-member broker-dealer firm willing and able to undertake the engagement, subject to its approvals.

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• An authorized firm representative or a named sponsoring principal, with access to the firm's compliance decision-maker.

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• Completed Reg CF intermediary engagements strongly preferred.

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• Experience with crowdfunding vehicles, securities-based compensation, escrow coordination, and supervised custom or white-label technology preferred.

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• Willingness to work alongside DeepMM's existing broker-dealer adviser, which would continue receiving a separately disclosed 6% commission, subject to written consent and an approved allocation of responsibilities. The selected firm would be the sole Reg CF platform intermediary.

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HOW TO APPLY

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Apply with your profile/resume and, where possible, an accompanying firm overview addressing:

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1. Firm legal name and CRD number; your role and authority or sponsoring principal.

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2. A completed Reg CF offering link or issuer name and your firm's role.

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3. Willingness to supervise a DeepMM-built platform and support a Rule 3a-9 vehicle holding a SAFE.

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4. Acceptance of the proposed $25,000 securities-only fee; list all required cash fees, recurring charges, and third-party costs separately.

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5. Any conditions for working alongside our existing adviser and its separately disclosed commission.

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6. The compliance approval lead, services provided directly versus through vendors, and expected onboarding timeline.

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Final selection and launch are subject to firm diligence, securities counsel review, regulatory requirements, and definitive agreements. This listing solicits professional services, not investments from applicants.

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