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Finra Funding Portals

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Laatst bijgewerkt: 2022-02-06 09:07:05

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Funding Portals | FINRA.org

FINRA Fingerprint Process Change. FINRA’s new fingerprint process for broker-dealer firms and funding portals became effective 7 a.m. ET on Dec. 6, 2021, consistent with the fingerprint plan filed with and declared effective by the SEC.Under the new process, broker-dealers and funding portals must route fingerprints to Sterling, FINRA’s designated fingerprint provider.
Url: https://www.finra.org/registration-exams-ce/funding-portals
Funding Portals | FINRA.org

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Funding Portals We Regulate | FINRA.org

01-02-2022 · A crowdfunding intermediary must register with the Securities and Exchange Commission (SEC) as a broker or as a funding portal and become a member of a national securities association (FINRA). The following crowdfunding intermediaries are registered with the SEC as funding portals and are funding portal members of FINRA. Learn more about funding …
Url: https://www.finra.org/about/firms-we-regulate/funding-portals-we-regulate
Funding Portals We Regulate | FINRA.org

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Toegevoegd door: Scot Plummer

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Entitlement for Funding Portals | FINRA.org

23-01-2022 · You must complete the New Funding Portal Organization Super Account Administrator (SAA) Entitlement Form to designate an SAA when your organization is new and requires access to the FINRA Entitlement Program. The form has specific instructions and signature requirements that must be met for processing. The signer of the form must be an …
Url: https://www.finra.org/filing-reporting/entitlement/funding-portals
Entitlement for Funding Portals | FINRA.org

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How to Apply as a New Funding Portal | FINRA.org

06-01-2022 · For your firm to become a registered funding portal with FINRA, your firm must complete the following steps. 1. Reserve Your Firm’s Name Make sure to request and reserve a proposed name for your firm from FINRA before filing with the SEC. FINRA checks that the name is not identical to an existing member firm’s name or so similar that it will confuse or mislead …
Url: https://www.finra.org/registration-exams-ce/funding-portals/how-apply-new-funding-portal
How to Apply as a New Funding Portal | FINRA.org

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Register as a New Funding Portal | FINRA.org

*/ /*--*/ In this section of FINRA.org, you will find step-by-step instructions on how to become a funding portal member of FINRA. The funding portal membership requirements are set forth in Funding Portal Rule 110. This general guide outlines the substantive standards and procedures for the entire funding portal membership application and registration process.
Url: https://www.finra.org/registration-exams-ce/funding-portals/register-new
Register as a New Funding Portal | FINRA.org

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After You Apply as a Funding Portal | FINRA.org

06-01-2022 · Pursuant to Funding Portal Rule 110(a)(7), if an applicant withdraws an application within 14 days after filing the application, FINRA will refund the application fee, less a processing fee, which FINRA shall retain. If the applicant determines to again seek funding portal membership with FINRA, the applicant must submit a new application and fee.
Url: https://www.finra.org/registration-exams-ce/funding-portals/after-you-apply-funding-portals
After You Apply as a Funding Portal | FINRA.org

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Toegevoegd door: EU Science & Innovation

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How to appoint a LEAR in the Funding & Tenders Portal

How to appoint a LEAR in the Funding & Tenders Portal

Toegevoegd door: EU Science & Innovation

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The Funding & Tenders Portal for beginners

The Funding & Tenders Portal for beginners

Toegevoegd door: CrowdWise

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The "Where" - Crowdfunding Intermediaries (Reg CF Funding Portals) - CrowdWise Academy (223)

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Toegevoegd door: Equity Portal

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Introducing Equity Portal

Introducing Equity Portal

Toegevoegd door: mike barth

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FINRA Bond Search Exercise

FINRA Bond Search Exercise

Toegevoegd door: Investor Trading Academy

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What is FINRA (The Financial Industry Regulatory Authority)?

What is FINRA (The Financial Industry Regulatory Authority)?

Toegevoegd door: Cup of Finance

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What is FINRA? (Financial Industry Regulatory Authority)

What is FINRA? (Financial Industry Regulatory Authority)

Toegevoegd door: Bridger Pennington

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WHAT LICENSES DO YOU NEED FOR YOUR FUND?

WHAT LICENSES DO YOU NEED FOR YOUR FUND?

Toegevoegd door: The Heritage Foundation

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A New Direction for FINRA?

A New Direction for FINRA?

Toegevoegd door: Crowdie Advisors

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Can a company raise funds under Reg CF on its own platform or website?

Can a company raise funds under Reg CF on its own platform or website?
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