Crowdfunding Portal Registration Services
Crowdfunding Portal Registration Services
Running a crowdfunding portal means dealing with SEC and FINRA rules from day one. We support fintech founders and legal teams through each step of the registration process, including filings, disclosures, and operational setup.
Running a crowdfunding portal means dealing with SEC and FINRA rules from day one. We support fintech founders and legal teams through each step of the registration process, including filings, disclosures, and operational setup.
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Eligibility
Eligibility
Does Your Platform Need Crowdfunding Portal Registration?
If your platform allows people to invest in startups or private companies online, there's a good chance you’ll need to register with the SEC and FINRA. Below are typical types of businesses that fall under these rules.
Reg CF Crowdfunding Sites
If you are a web-based platform that hosts offerings under Regulation Crowdfunding for non-accredited investors, up to $5 million per issuer per year, you must register as a crowdfunding portal.
Reg CF Crowdfunding Sites
If you are a web-based platform that hosts offerings under Regulation Crowdfunding for non-accredited investors, up to $5 million per issuer per year, you must register as a crowdfunding portal.
Early-Stage Fintech Portals
Firms that aren’t licensed broker-dealers but still handle securities offerings, investor onboarding, or facilitate escrow funding must register as portals.
Early-Stage Fintech Portals
Firms that aren’t licensed broker-dealers but still handle securities offerings, investor onboarding, or facilitate escrow funding must register as portals.
International Platforms Targeting US Investors
Foreign-based crowdfunding sites that plan to offer securities to US retail investors online must meet domestic crowdfunding registration and compliance standards.
International Platforms Targeting US Investors
Foreign-based crowdfunding sites that plan to offer securities to US retail investors online must meet domestic crowdfunding registration and compliance standards.
Steps
Steps
Steps of the Crowdfunding Portal Registration Process
01
Submit Form Funding Portal to the SEC
File Form FP through the SEC’s EDGAR system to register your firm as a funding portal. This starts the formal application process.
01
Submit Form Funding Portal to the SEC
File Form FP through the SEC’s EDGAR system to register your firm as a funding portal. This starts the formal application process.
02
Get Set Up in FINRA’s System
Appoint a Super Account Administrator (SAA), submit fingerprint cards, and complete FINRA’s entitlement process to access the membership application system.
02
Get Set Up in FINRA’s System
Appoint a Super Account Administrator (SAA), submit fingerprint cards, and complete FINRA’s entitlement process to access the membership application system.
03
Complete Your FINRA Membership Application
Submit your Form FP-NMA to FINRA with all required documentation, including your business plan, ownership structure, WSPs, AML policy, and financial records.
03
Complete Your FINRA Membership Application
Submit your Form FP-NMA to FINRA with all required documentation, including your business plan, ownership structure, WSPs, AML policy, and financial records.
04
Prepare for the Interview
FINRA will review your application, request additional information, and schedule a membership interview to assess your readiness.
04
Prepare for the Interview
FINRA will review your application, request additional information, and schedule a membership interview to assess your readiness.
05
Start Operating
If approved, you’ll sign a membership agreement with FINRA and can begin operating your crowdfunding portal in compliance with Reg CF.
05
Start Operating
If approved, you’ll sign a membership agreement with FINRA and can begin operating your crowdfunding portal in compliance with Reg CF.
Resources
Resources
Latest Content
Articles
Apr 22, 2025
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16 min read
May 30, 2024
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16 min read
Articles
Apr 22, 2025
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16 min read
May 30, 2024
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16 min read
FAQ
FAQ
Frequently Asked Questions
Frequently Asked Questions
What is the FINRA New Member Application?
What is the FINRA New Member Application?
When is a Continuing Membership Application required?
When is a Continuing Membership Application required?
How long does FINRA take to review an NMA?
How long does FINRA take to review an NMA?
What are FINRA’s Standards for Admission?
What are FINRA’s Standards for Admission?
What’s the difference between a funding portal and a broker-dealer?
What’s the difference between a funding portal and a broker-dealer?
Do I need to register with the SEC or FINRA to operate a funding portal?
Do I need to register with the SEC or FINRA to operate a funding portal?
What forms do I need to file to register a crowdfunding portal?
What forms do I need to file to register a crowdfunding portal?
Get Support for Your Crowdfunding Portal Registration
Get Support for Your Crowdfunding Portal Registration
Who We Serve
Compliance Services
Compliance Consulting
Compliance Operations
Licensing Services
Resources
About InnReg
The content provided on this website is for informational purposes only and does not constitute legal, investment, tax, or other professional advice. InnReg LLC is not a law firm, tax advisor, or regulated financial institution. Viewing this site or contacting InnReg does not create a client relationship. Results described in case studies or testimonials may not be typical and do not guarantee future outcomes. Tools, spreadsheets, or guides available on this site are provided for illustrative purposes only and should not be relied upon without professional guidance. Any links to third-party websites are provided for convenience and do not constitute endorsement or responsibility for their content. The information on this site may not be applicable in all jurisdictions. While we strive to provide accurate content, we make no representations as to its completeness or timeliness. Some visual assets on this site are sourced from Freepik.
Who We Serve
Compliance Services
Compliance Consulting
Compliance Operations
Licensing Services
Resources
About InnReg
The content provided on this website is for informational purposes only and does not constitute legal, investment, tax, or other professional advice. InnReg LLC is not a law firm, tax advisor, or regulated financial institution. Viewing this site or contacting InnReg does not create a client relationship. Results described in case studies or testimonials may not be typical and do not guarantee future outcomes. Tools, spreadsheets, or guides available on this site are provided for illustrative purposes only and should not be relied upon without professional guidance. Any links to third-party websites are provided for convenience and do not constitute endorsement or responsibility for their content. The information on this site may not be applicable in all jurisdictions. While we strive to provide accurate content, we make no representations as to its completeness or timeliness. Some visual assets on this site are sourced from Freepik.
Who We Serve
Compliance Services
Compliance Consulting
Compliance Operations
Licensing Services
Resources
About InnReg
The content provided on this website is for informational purposes only and does not constitute legal, investment, tax, or other professional advice. InnReg LLC is not a law firm, tax advisor, or regulated financial institution. Viewing this site or contacting InnReg does not create a client relationship. Results described in case studies or testimonials may not be typical and do not guarantee future outcomes. Tools, spreadsheets, or guides available on this site are provided for illustrative purposes only and should not be relied upon without professional guidance. Any links to third-party websites are provided for convenience and do not constitute endorsement or responsibility for their content. The information on this site may not be applicable in all jurisdictions. While we strive to provide accurate content, we make no representations as to its completeness or timeliness. Some visual assets on this site are sourced from Freepik.