Tag Archives: procedure

FINRA Releases Proposed Funding Portal Rules

FINRA released proposed new funding portal rules for non-broker/dealer websites that want to offer crowd funding deals under the proposed SEC crowd funding rules that were issued yesterday. The rules cover applications for FINRA membership, changes in control, the requirement … Continue reading

Posted in Broker dealers, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, Film, FINRA, Funding Portals, Investments, Jobs, Legislative Intent, SEC, Small Business, Venture Capital, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment