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Federal forms, ICRs, and supporting documents

OMB control number

Crowdfunding Rules 300-304 (Intermediaries)

OMB 3235-0726 ยท SEC.

OMB 3235-0726

Rules 300 to 304 of Regulation Crowdfunding serve to provide a framework for the regulation of funding portals and brokers that issuers are required to use as intermediaries in the offer and sale of securities in reliance on Section 4(a)(6).

The latest form for Crowdfunding Rules 300-304 (Intermediaries) expires 2029-01-31 and is listed under ICR 202503-3235-003.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
2025 06 11_90 FR 24682_3235-0726_30-Day Submission Notice.pdf.pdfSupplementary Document
2025 03 27_90 FR 13917_3235-0726_60-Day Collection Notice.pdfSupplementary Document
2025 Rules 300-304 Supporting Statement (Crowdfunding Intermediaries) 3.13.25.pdfSupporting Statement A
IC15 - Measures to Reduce Risk of Fraud - Background Checks Information collection
IC12 - Maintenance and Transmission of Funds - Ongoing Burden Information collection
IC10 - Account Opening - Promoters Information collection
IC17 - Account Opening - Educational Materials - Ongoing Burden - developed by third party Information collection
IC8 - Account Opening - Educational Materials - Ongoing Burden - developed in-house Information collection
IC16 - Account Opening - Educational Materials - Initial Burden - developed by third party Information collection
IC6 - Account Opening - Accounts and Electronic Delivery - Ongoing Burden Information collection
IC4 - Measures to Reduce the Risk of Fraud - Ongoing Burden Information collection
IC14 - Updating the Intermediary Platform - Third party developer Information collection
IC2 - Updating the Intermediary Platform - In-house Information collection
IC11 - Maintenance and Transmission of Funds - Initial Burden Information collection
IC9 - Account Opening - Promoters - initial burden Information collection
IC7 - Account Opening - Educational Materials - Initial Burden - developed in-house Information collection
IC5 - Account Opening - Accounts and Electronic Delivery - Initial Burden Information collection
IC3 - Measures to Reduce the Risk of Fraud - Initial Burden Information collection
IC13 - Development of the Intermediary Platform - Third Party Developer Information collection
IC1 - Development of the Intermediary Platform - In-house Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202503-3235-003 Extension without change of a currently approved collection 2025-06-11
202203-3235-005 Extension without change of a currently approved collection 2022-05-17 Approved without change
201811-3235-006 Extension without change of a currently approved collection 2019-02-07 Approved without change
201511-3235-008 New collection (Request for a new OMB Control Number) 2015-11-17 Approved without change
201505-3235-010 New collection (Request for a new OMB Control Number) 2015-05-20 Comment filed on proposed rule

OMB Details

IC1 - Development of the Intermediary Platform - In-house

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight