Crowdfunding Compliance Services
We Help Crowdfunding Portals With Compliance
We work with fintech teams launching innovative crowdfunding portals, helping them meet regulatory requirements without compromising on speed or product vision.
As seen on:
As seen on:
As seen on:
Challenges
Crowdfunding Portals Operate Under Tight Regulatory Pressure
Crowdfunding Portals Operate Under Tight Regulatory Pressure
Running a crowdfunding portal means staying within narrow regulatory lines. You have to follow strict SEC and FINRA rules, manage investor protections, and monitor every offering detail, often all at once.
Running a crowdfunding portal means staying within narrow regulatory lines. You have to follow strict SEC and FINRA rules, manage investor protections, and monitor every offering detail, often all at once.
Limited Authority
Funding portals can't give advice, pitch offerings, or touch investor money. That means your business model must stay within narrow legal lines.
Limited Authority
Funding portals can't give advice, pitch offerings, or touch investor money. That means your business model must stay within narrow legal lines.
Limited Authority
Funding portals can't give advice, pitch offerings, or touch investor money. That means your business model must stay within narrow legal lines.
Complex Rules, Small Transactions
You’re working with hundreds or even thousands of investors, each with unique and strict investment limits. Every dollar must be tracked accurately, with systems in place to prevent overages.
Complex Rules, Small Transactions
You’re working with hundreds or even thousands of investors, each with unique and strict investment limits. Every dollar must be tracked accurately, with systems in place to prevent overages.
Complex Rules, Small Transactions
You’re working with hundreds or even thousands of investors, each with unique and strict investment limits. Every dollar must be tracked accurately, with systems in place to prevent overages.
You’re on the Hook for Issuers
You’re responsible for vetting issuers, running background checks, and identifying red flags. If you don’t, regulators will hold you accountable.
You’re on the Hook for Issuers
You’re responsible for vetting issuers, running background checks, and identifying red flags. If you don’t, regulators will hold you accountable.
You’re on the Hook for Issuers
You’re responsible for vetting issuers, running background checks, and identifying red flags. If you don’t, regulators will hold you accountable.
Regulators
Who Regulates Crowdfunding Portals
If you're running a crowdfunding portal, you’re dealing with multiple agencies. Each one plays a different role: setting rules, reviewing applications, or monitoring your activities after launch.
Frameworks
Key Regulatory Frameworks for Crowdfunding Portals
Key Regulatory Frameworks for Crowdfunding Portals
The legal framework for crowdfunding portals was built to support online exempt offerings. These rules outline what portals can and can’t do, how issuers disclose information, and how investments are processed and tracked.
The legal framework for crowdfunding portals was built to support online exempt offerings. These rules outline what portals can and can’t do, how issuers disclose information, and how investments are processed and tracked.
How We Help
Let Us Manage Compliance While You Focus on Growth
01
Get Set Up and Registered
We help you navigate SEC and FINRA registration, prepare required filings, and structure your compliance program from the start.
01
Get Set Up and Registered
We help you navigate SEC and FINRA registration, prepare required filings, and structure your compliance program from the start.
02
Build Your Compliance Program
We create policies, procedures, workflows, and supervisory systems that align with Reg CF and FINRA rules, customized to how your platform actually works.
02
Build Your Compliance Program
We create policies, procedures, workflows, and supervisory systems that align with Reg CF and FINRA rules, customized to how your platform actually works.
03
Manage Ongoing Operations
We support your day-to-day compliance needs, from reviewing issuer disclosures to tracking investor requirements and limits.
03
Manage Ongoing Operations
We support your day-to-day compliance needs, from reviewing issuer disclosures to tracking investor requirements and limits.
04
Fill Key Compliance Roles
We can supply your firm with an outsourced CCO or help you fill other required roles with experienced professionals.
04
Fill Key Compliance Roles
We can supply your firm with an outsourced CCO or help you fill other required roles with experienced professionals.
Why InnReg
Specialized Compliance Support for Crowdfunding Portals
Our clients choose us because we bring deep regulatory knowledge and best practices on real-world execution. We integrate with your systems, work at your pace, and give you access to an entire compliance team for less than the cost of hiring in-house. Whether you’re just getting started or already live, we can step in where you need us.
Decades of Experience
Our team brings together multiple decades of cumulative experience in regulatory compliance and fintech.
Decades of Experience
Our team brings together multiple decades of cumulative experience in regulatory compliance and fintech.
Full-Service Solutions
InnReg can cover your entire compliance journey, from strategic planning to daily operations.
Full-Service Solutions
InnReg can cover your entire compliance journey, from strategic planning to daily operations.
Seamless Integration
InnReg's team integrates into your organization to complement your existing resources and structures.
Seamless Integration
InnReg's team integrates into your organization to complement your existing resources and structures.
Expertise on Your Niche
Work directly with our regulatory specialists, each selected for their unique expertise in your specific niche.
Expertise on Your Niche
Work directly with our regulatory specialists, each selected for their unique expertise in your specific niche.
Worldwide Expertise
With a diverse team around the globe, InnReg supports international firms in navigating multi-jurisdictional landscapes.
Worldwide Expertise
With a diverse team around the globe, InnReg supports international firms in navigating multi-jurisdictional landscapes.
Cost-Effective Services
Compliance outsourcing for financial services firms can provide significant cost savings while promoting innovation.
Cost-Effective Services
Compliance outsourcing for financial services firms can provide significant cost savings while promoting innovation.
Resources
Latest Content
Articles
Downloads
Apr 22, 2025
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16 min read
May 30, 2024
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16 min read
Articles
Downloads
Apr 22, 2025
·
16 min read
May 30, 2024
·
16 min read
FAQ
Crowdfunding Portal Questions
Crowdfunding Portal Questions
How is FINRA different from the SEC?
How is FINRA different from the SEC?
What is a supervisory system?
What is a supervisory system?
What are the consequences of deficiencies found during a FINRA exam?
What are the consequences of deficiencies found during a FINRA exam?
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?
Contact Us Today
Contact Us Today
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.