Regulatory Notice 13-34

FINRA Requests Comment on Proposed Funding Portal Rules and Related Forms
Comment Period Expired: February 3, 2014

Executive Summary

FINRA is soliciting public comment on a set of proposed rules—referred to as the Funding Portal Rules—and related forms for SEC-registered funding portals that become FINRA members pursuant to the crowdfunding provisions of the JOBS Act.


The text of the proposed rules is available in Attachment A and the related forms are available as Attachments B through E.

View Full Notice PDF 81 KB

The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments.

Comments By Date Received
Charles Polanco (PDF 16 KB) 11/22/2013 (PDF 45 KB) 2/2/2014
Financial Services Institute (PDF 130 KB) 2/3/2014
NASAA (PDF 105 KB) 2/3/2014
Wulff, Hansen & Co. (PDF 245 KB) 2/3/2014
CFA Institute (PDF 65 KB) 2/3/2014
The Heritage Foundation (PDF 171 KB) 2/3/2014