2021 FINRA Funding Portal Webinar
On Thursday, March 11, from 2:00 to 4:00 pm (ET), FINRA and SEC staff are hosting a free webinar via Zoom for funding portal members and for broker-dealer members that engage in Regulation Crowdfunding offerings. In the webinar, staff from FINRA and the SEC expect to address several topics, including:
- a brief overview of recent amendments to Regulation Crowdfunding;
- recent findings by FINRA examination staff and common issues observed by risk monitoring and advertising regulation staff;
- a brief overview of FINRA enforcement actions; and
- audience questions submitted in advance.
Agenda
Following is the expected agenda for the webinar:
- Introduction and Opening Remarks
- Overview by SEC Staff
- Overview by FINRA Staff
- Discussion of Audience Questions Submitted in Advance
Speaker Headshots and Biographies
Register
There is no cost to attend this event. Please note that pre-registration is required, and participation is limited for this webinar to two participants per firm. Registration will close at noon ET on February 26, 2021. You will receive an email confirmation of your completed registration form.
Submit Questions in Advance
Questions should be submitted in advance, via email, to funding portals. Priority will be given to questions submitted by 5:00 pm ET on February 19, 2021. We will not be able to take questions during the webinar.
Additional Information
Please direct questions about registration to (800) 321-6273 or via email.
Press
This event is not open to the media.