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Guidance for Funding Portals. Overview – FINRA’s Funding Portal Rules (FP Rules) apply to firms that register with the U.S. Securities and Exchange Commission (SEC) as funding portals pursuant to the SEC’s Regulation Crowdfunding (Reg CF) and that become FINRA FP members.
How to Apply as a New Funding Portal. For your firm to become a registered funding portal with FINRA, your firm must complete the following steps. 1. Reserve Your Firm’s Name. Make sure to request and reserve a proposed name for your firm from FINRA before filing with the SEC.
Learn the standards and guidelines for the funding portal membership application and registration process, including how to apply and what to expect after you apply. Update a Funding Portal's Registration
FINRA proposed to apply the Funding Portal Rules and related 10 Se e Section 3(h)(1)(B) of the Exchange Act (requiring, as a condition of the exemption from broker registration , that a funding portal be a members of a national securities
Funding portals must register by filing an application on Form Funding Portal through the SEC's EDGAR system. Form Funding Portal requires information from the funding portal applicant, including information about the funding portal's business, principals, control relationships, and employees.
25 Σεπ 2018 · In addition, FINRA has a set of rules that apply specifically to funding portals, available at www.finra.org. Registration of Funding Portals (Rule 400 of Regulation Crowdfunding) Question 400.1: How do I register as a funding portal? Answer: Funding portals register by filing an application on Form Funding Portal through the SEC’s Electronic ...
The FINRA qualification and registration requirements are set forth in FINRA Rules 1210 through 1240. 1 These rules, among other things: (1) require the registration of individuals as representatives or principals; (2) allow for the permissive registration of associated persons of firms; (3) establish a waiver program for individuals working ...
