Regulatory Notice 13-34
FINRA Requests Comment on Proposed Funding Portal Rules and Related Forms
Comment Period Expired: February 3, 2014
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.
|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|
|CyberIssues.com (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|