Syndicate Legal Advisory Services provides nationwide legal document preparation services for entities preparing registration materials as a funding portal under Regulation Crowdfunding. We prepare Form Funding Portal and related supporting materials based on the entity information, ownership details, and specific instructions you provide.
Documents Commonly Prepared
We prepare documents associated with an SEC Funding Portal Registration, including:
Form Funding Portal (Application for Registration as a Funding Portal): Completion of the application covering identifying information, form of organization, business activities, control persons, ownership, disciplinary history, and other required items, based on the information you supply.
Schedules to Form Funding Portal: Organization and formatting of required schedules (including Schedule A for direct owners and executive officers, Schedule B for amendments, Schedule C for nonresident portals, and Schedule D for withdrawals), based on the information you provide.
Amendments (Form Funding Portal/A): Preparation of amended applications incorporating updates or corrections, based on the corrected or updated details you provide.
Withdrawal Materials: Preparation of withdrawal of registration materials on Form Funding Portal, based on the information you supply.
Related Supporting Materials: Organization of entity formation documents, disciplinary disclosures, or other materials referenced in the form, based on the documents and information you provide.
Documents are prepared for electronic filing through the SEC’s EDGAR system. Form Funding Portal is the application used by an intermediary that is not a registered broker-dealer to register as a funding portal under Securities Act Section 4A(a)(1) and Regulation Crowdfunding so that it may facilitate offerings conducted in reliance on Section 4(a)(6); registration becomes effective the later of 30 calendar days after the SEC receives the complete form or the date the funding portal is approved for membership by a national securities association (currently FINRA); the funding portal must also become a FINRA member and comply with ongoing rules (including prohibitions on offering investment advice, soliciting purchases, compensating persons based on sales, and holding investor funds or securities); clients remain fully responsible for determining eligibility, the accuracy and completeness of all disclosures, timely EDGAR filing, FINRA membership, and compliance with Regulation Crowdfunding, the Securities Act, the Exchange Act, and applicable rules.
