Interim Form for Crowdfunding Portals

FINRA invites prospective crowdfunding portals to voluntarily file an interim funding portal form.

 

If you intend to act as a funding portal under the JOBS Act, you may voluntarily submit this form to inform us about your future funding portal business. Your filing will help us to develop rules that reflect the funding portal community and its business. FINRA will treat the information that you file on the interim form as confidential.

 

Note: Filing of this interim form will not entitle you to FINRA membership. We will make membership available to funding portals after the SEC adopts funding portal rules and approves FINRA's funding portal rules.

 

Once funding portal rules are in place, FINRA will issue a final funding portal application that will be necessary for you to file to become a FINRA member. In applying for membership, you will not be bound by the responses you provided on this interim funding portal form.

 

In addition to the information we request on the interim form, you may provide any additional information or documents that you believe would be helpful.

 

 

Submitting the IFFP

 

Please submit the completed interim funding portal form to fundingportals@finra.org.

 

If you have any questions, please contact FINRA at (212) 858-4000 and select option 5.