Funding Portal Definition

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Updated: April 21, 2022

Frequently Asked Questions About Crowdfunding Intermediaries

https://www.sec.gov/divisions/marketreg/tmjobsact-crowdfundingintermed...

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FAQs

What is a funding portal SEC?

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). For broker-dealer firms, view the Broker Dealer Firms We Regulate list on our site. ...

Is a funding portal a broker-dealer?

Both broker-dealer firms and crowdfunding online portals perform the same function: they act as an intermediary through which one can buy and sell securities. ... A broker-dealer can be both an individual and a firm, while a funding portal is an app or an online platform.

What does SEC Gov mean?

U.S. Securities and Exchange Commission

What did the SEC do during the Great Depression?

The commission's purpose was to restore investor confidence by ending misleading sales practices and stock manipulations that led to the collapse of the stock market in 1929.

What is the SEC area of authority?

The SEC has been given broad jurisdiction to regulate all public securities markets and the financial reporting of public companies. Their authority covers anyone working for investment firms and public companies as well as the accountants providing services to these companies.

2. Equitynet.com