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.

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

Related Documents: 

DateTitleFormat - Size
10/23/2013Funding Portals Notice - Attachment APDF - 113.47 KB
10/23/2013Funding Portals Notice - Attachment B, C, D, EPDF - 205.53 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: 
DateCommenterFormat - Size
11/22/2013Charles PolancoPDF - 15.6 KB
2/2/2014CyberIssues.comPDF - 44.57 KB
2/3/2014Wulff, Hansen & Co.PDF - 244.22 KB
2/3/2014CFA InstitutePDF - 64.46 KB
2/3/2014The Heritage FoundationPDF - 170.44 KB
2/3/2014Financial Services InstitutePDF - 129.3 KB
2/3/2014NASAAPDF - 104.65 KB