Crowdfunding Rules 400-404 (Funding Portals)

OMB 3235-0727

Regulation Crowdfunding prescribes rules governing the sale and offer of securities under new Section 4(a)(6) of the Securities Act of 1933, and provides a framework for the regulation of registered funding portals and brokers that issuers are requires to use as intermediaries in the offer and sale of securities in reliance on Section 4(a)(6).

The latest form for Crowdfunding Rules 400-404 (Funding Portals) expires 2022-05-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
Form Form Funding Porta IC1 - Form Funding Portal: Application for Funding Portal Registration Form and Instruction
3235-0727.pdf Supplementary Document
3235-0727.pdf Supplementary Document
30 day notice for Rules 400-404.pdf Supplementary Document
60 day notice for 400-404.pdf Supplementary Document
Supporting Statement - Crowdfunding Rules 400-404 (Funding Portals) - 2022.pdf Supporting Statement A
EDGAR PIA 2016.pdf Supplementary Document
IC12 - Regulation S-ID - Ongoing Burden
IC10 - Regulation S-AM - Ongoing Burden
IC7 - Rule 403: Compliance Policies and Procedures - Ongoing Burden
IC5 - Rule 404: Books and Records to Be Made and Maintained by Funding Portals - Ongoing Burden
IC11 - Regulation S-ID - Initial Burden
IC9 - Regulation S-AM - Initial Burden
IC8 - Regulation S-P
IC6 - Rule 403: Compliance Policies and Procedures - Initial Burden
IC13 - Rule 404: Books and Records to Be Made and Maintained by Funding Portals - Initial Burden
IC4 - Form Funding Portal: Designation of U.S. Agent for Service of Process and Opinion of Counsel for Nonresident
IC3 - Form Funding Portal-W: Notice of Withdrawal from Registration as a Funding Portal
IC2 - Form Funding Portal/A: Amendment to Registration
IC1 - Form Funding Portal: Application for Funding Portal Registration Form and Instruction

All Historical Document Collections

202203-3235-007 Approved without change	Extension without change of a currently approved collection	2022-05-20
201811-3235-007 Approved without change	Extension without change of a currently approved collection	2019-02-05
201511-3235-007 Approved without change	New collection (Request for a new OMB Control Number)	2015-11-18
201505-3235-009 Comment filed on proposed rule	New collection (Request for a new OMB Control Number)	2015-05-20

OMB Details

Form Funding Portal: Application for Funding Portal Registration

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Form Form Funding Portal

Form Funding Portal

www.sec.gov/files/formcfportal.pdf

Form and instruction

Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.