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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

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.

Learn More About Portals

Steps

Steps of the Crowdfunding Portal Registration Process

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.

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.

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.

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.

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.

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.

Prepare for the Interview

FINRA will review your application, request additional information, and schedule a membership interview to assess your readiness.

Prepare for the Interview

FINRA will review your application, request additional information, and schedule a membership interview to assess your readiness.

Start Operating

If approved, you’ll sign a membership agreement with FINRA and can begin operating your crowdfunding portal in compliance with Reg CF.

Start Operating

If approved, you’ll sign a membership agreement with FINRA and can begin operating your crowdfunding portal in compliance with Reg CF.

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FAQ

Frequently Asked Questions

What is the FINRA New Member Application?

When is a Continuing Membership Application required?

How long does FINRA take to review an NMA?

What are FINRA’s Standards for Admission?

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?

What forms do I need to file to register a crowdfunding portal?

Get Support for Your Crowdfunding Portal Registration

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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

By Vertical

Broker-Dealers

Registered Investment Advisors (RIA)

Alternative Trading Systems (ATS)

Money Services Businesses (MSBs)

Lenders

Payment Services

Crowdfunding Portals

Digital Banking

Crypto and Blockchain

Forex Brokers

Banks

Licensing Services

By Vertical

Broker-Dealer Registration

Investment Advisor Registration

MSB Registration

Money Transmitter License

Currency Exchange License

Check Casher License

Lender License

Payment License

Crowdfunding Portal Registration

Crypto License

Forex Broker License

Resources

Learn

Blog

Case Studies

Regulatory Updates

FINRA Rules

Downloads

Ebooks

Spreadsheets

About InnReg

Company

Who We Are

Why InnReg

Regly

Careers

Referral Program

Legal

305-908-1160

9100 S Dadeland Blvd
Suite 1500
Miami, Florida 33156

Who We Serve

By Vertical

Broker-Dealers

Registered Investment Advisors (RIA)

Alternative Trading Systems (ATS)

Money Services Businesses (MSBs)

Lenders

Payment Services

Crowdfunding Portals

Digital Banking

Crypto and Blockchain

Forex Brokers

Banks

Licensing Services

By Vertical

Broker-Dealer Registration

Investment Advisor Registration

MSB Registration

Money Transmitter License

Currency Exchange License

Check Casher License

Lender License

Payment License

Crowdfunding Portal Registration

Crypto License

Forex Broker License

Resources

Learn

Blog

Case Studies

Regulatory Updates

FINRA Rules

Downloads

Ebooks

Spreadsheets

About InnReg

Company

Who We Are

Why InnReg

Regly

Careers

Referral Program

Legal

305-908-1160

9100 S Dadeland Blvd
Suite 1500
Miami, Florida 33156

Crowdfunding Portal Registration Services

Does Your Platform Need Crowdfunding Portal Registration?

Reg CF Crowdfunding Sites

Reg CF Crowdfunding Sites

Early-Stage Fintech Portals

Early-Stage Fintech Portals

International Platforms Targeting US Investors

International Platforms Targeting US Investors

Steps of the Crowdfunding Portal Registration Process

Submit Form Funding Portal to the SEC

Submit Form Funding Portal to the SEC

Get Set Up in FINRA’s System

Get Set Up in FINRA’s System

Complete Your FINRA Membership Application

Complete Your FINRA Membership Application

Prepare for the Interview

Prepare for the Interview

Start Operating

Start Operating

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Anti-Money Laundering

Cost-Effective Services

Fintech Specialists

Expert Solutions

Hands-On Support

Global Coverage

Since 2013

Licensing and Registration

Compliance Program Development

Compliance Program Management

Risk Management

Cybersecurity Program

Latest Content

Articles

Frequently Asked Questions

Frequently Asked Questions

What is the FINRA New Member Application?

When is a Continuing Membership Application required?

How long does FINRA take to review an NMA?

What are FINRA’s Standards for Admission?

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?

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