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I am on a budget setting up my license crowd Funding portal with the FINRA/ SEC. I have completed everything and just need to send me finger print. is there a checklist for the thing i need to do so i can do everything properly and know my roadmap. is it hard to change the name of the Entity. and add Capital at the end of the name?

1 Answer, 1 Reply
Scott McIntyre
Scott McIntyre  replied:

I'm sorry, but I'm not a platform expert and can't help you with those questions. But congratulations on your hard work and I hope you find success shortly. One of the benefits of joining the CfPA is access to our thought leaders, and also referral to qualified professionals who could answer your question. My best advice is squirrel some funds away to hire a good securities attorney to answer those questions. Continued Success!

Samson Williams
Samson Williams  replied:

Here is the general FINRA checklist: https://www.finra.org/registration-exams-ce/funding-portals/how-apply-new-funding-portal 

But for specifics for your portal you should retain a lawyer who specializes in Securities and platform registration. I recommend Sara Hanks, Jenny Kasan or Maureen Murat.