Crowdfunding: SEC Approves FINRA’s Portal Rules (& 1st Portal Files With the SEC)

Broc Romanek Broc Romanek

Broc Romanek

TheGovernanceBeat.com for Cooley; RealTransparentDisclosure.com; ESGProfessionalsNetwork.com

发布日期: 2016年2月3日
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As Steven Quinlivan notes in this blog, the first crowdfunding portal has filed to be registered with the SEC – and as noted in this MoFo blog, the SEC recently approved FINRA’s funding portal rules that were subject to technical amendments a few weeks ago – and FINRA issued Regulatory Notice 16-06, which provides an overview of the new Funding Portal Rules.

Last week, the SEC’s Division of Trading & Markets posted this “Funding Portal Registration Guide: A Small Entity Compliance Guide“…

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