FINRA Funding Portal applications & outsourced compliance support for Crowdfunding Portals of all niches.

The savvy, strategic partner to help build and protect your crowdfunding business.

Funding Portal Compliance Consulting Solutions

Customizing compliance services for Funding Portals since the implementation of Regulation Crowdfunding (Reg CF) in 2016.

Halyard’s crowdfunding compliance consultants apply their proven expertise to assist crowdfunding portals in the development of effective, efficient and practical compliance programs to navigate this new and evolving sea of Reg CF requirements.  

FINRA Funding Portal Compliance Consultants

FINRA Membership Applications & Outsourced Compliance Department

We have been guiding Funding Portals through the intensive FINRA membership application (FP-NMA) process since the first waive of funding portals were approved.  We provide solutions supporting funding portal technology, functionality, account openings, investment process, issuer onboarding and much more.

Crowdfunding Business Expertise - We have seen it all!

Experience with an array of crowdfunding securities types and business models, including equities, debt, securitized revenue, tokens, digital currencies, SAFEs, NFTs, and more. 

Crowdfunding industries have included music, film, YouTube, creator economy, environmental, social and governance (ESG), environmental, manufacturing, construction, real estate and much more.

We also apply expertise in related capital markets, such as investment banking, broker-dealers, private equity, investment companies, fund companies, listing agents, Regulation D, Regulation A, Rule 144 and more.

Funding Portal Compliance Consultants

Regulation Crowdfunding as well as FINRA Funding Portal Rules impose a number of regulations on Funding Portals and its Associated Persons. Our Regulation CF Compliance Consultants provide customized consulting services to support your compliance program, which may included: 

  • Compliance Program and Supervisory System Construction

  • Written Supervisor Procedure and Compliance Manual Construction

  • Educational Material Construction

  • Compliance Program Tool and Resources

  • Investor Account Openings and Investor Notices

  • Investment Process Enhancements

  • Issuer Onboarding Processes

  • Communication and Marketing Material Reviews

  • Supervisory System Guidance and Reviews

  • FINRA Examination and SEC Audit Support

  • Customized Crowdfunding Compliance Consulting Solutions

  • Vendor Due Diligence and Qualified Third-Party (QTP) Escrow Agent Reviews

  • Funding Portal Compliance Consulting Solutions

  • JOBS Act Compliance Consulting Services

  • Rule 404 and SEC Rule 17a-4 and 17a-3


    And much more…

Title III of the Jumpstart Our Business Startups (“JOBS”) Act, enacted in 2012 with the goal of increasing American job creation and economic growth, contains key provisions relating to securities offered or sold through “crowdfunding.” Under Section 302 of the JOBS Act, a crowdfunding intermediary that engages in crowdfunding on behalf of issuers relying on the JOBS Act’s “crowdfunding exemption” is required to register with the SEC as a “funding portal” or broker and to register with an applicable self-regulatory organization.” [i.e. FINRA].

– SEC Release No. 34-76239