Bridge over ocean
3 February 2014 Comment Letter

Jumpstart Our Business Startups (JOBS) Act—Proposed Funding Portals (Regulatory Notice 13-34)

  1. Kurt Schacht, JD, CFA
  2. Linda Rittenhouse, JD

FINRA’s proposed rules for funding portals contain a number of investor protection provisions, but need to more broadly align themselves with certain provisions in the SEC’s proposed regulations on crowdfunding activities.

FINRA’s proposed rules for funding portals contain a number of investor protection provisions, but need to more broadly align themselves with certain provisions in the SEC’s proposed regulations on crowdfunding activities.
View Comment Letter

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