Proposed Rule Change to Adopt the Funding Portal Rules and Related Forms and FINRA Rule 4518

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt Funding Portal Rules 100, 110, 200, 300, 800, 900 and 1200 (collectively, the “Funding Portal Rules”) and related forms. In addition, as part of the proposed rule change, FINRA proposes to adopt new FINRA Rule 4518 (Notification to FINRA in Connection with the JOBS Act) in the FINRA rulebook.

TitleFormat - SizeStatus
Text of the Proposed Rule ChangePDF - 2.25 MB
Federal Register Notice PDF - 321.9 KB
Extension No. 1PDF - 90.52 KB
Amendment No. 1 to Proposed Rule ChangePDF - 177.68 KB
Response to Comments PDF - 666.69 KB
Approval OrderPDF - 270.96 KB