OMB control number

Crowdfunding - Rules 400-404 (Funding Portals)

OMB 3235-0727 · SEC.

OMB 3235-0727

The Rule 400 series of Regulation Crowdfunding (17 CFR Part 227) contains rules specifically applicable to funding portals (17 CFR 227.400-404). Funding portals register with the Commission by filing an application on Form Funding Portal, which requires information from the funding portal applicant, including information about the funding portal’s business, principals, control relationships, and employees. The Rule 400 series also requires, among other things, that funding portals make and keep records of compliance policies and procedures and make third party disclosures to become members of a national securities association. These requirements help ensure that the Commission has information to oversee funding portals and their activities in the crowdfunding securities market effectively.

The latest form for Crowdfunding - Rules 400-404 (Funding Portals) expires 2028-12-31 and is listed under ICR 202412-3235-002.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
Document	Type
Form Form Funding Porta Form Funding Portal	Form and Instruction
Form Form Funding Porta IC1 - Form Funding Portal: Application for Funding Portal Registration	Form and Instruction
2025 05 09_90 FR 19771_3235-0727_30-Day Submission Notice.pdf.pdf	Supplementary Document
2025 05 09_90 FR 19771_3235-0727_30-Day Submission Notice.pdf.pdf	Supplementary Document
Supporting Statement_Crowdfunding Rules 400-404 (Funding Portals) 2025 Extension.pdf	Supporting Statement A
Supporting Statement_Crowdfunding Rules 400-404 (Funding Portals) 2025 Extension.pdf	Supporting Statement A
PIA (EDGAR 2025).pdf	Supplementary Document
PIA (EDGAR 2025).pdf	Supplementary Document
2025 03 04_90 FR 11201_3235-0727_60-Day Collection Notice.pdf	Supplementary Document
2025 03 04_90 FR 11201_3235-0727_60-Day Collection Notice.pdf	Supplementary Document
IC12 - Regulation S-ID - Ongoing Burden	Information collection
IC10 - Regulation S-AM - Ongoing Burden	Information collection
IC7 - Rule 403: Compliance Policies and Procedures - Ongoing Burden	Information collection
IC5 - Rule 404: Books and Records to Be Made and Maintained by Funding Portals - Ongoing Burden	Information collection
IC11 - Regulation S-ID - Initial Burden	Information collection
IC9 - Regulation S-AM - Initial Burden	Information collection
IC8 - Regulation S-P	Information collection
IC6 - Rule 403: Compliance Policies and Procedures - Initial Burden	Information collection
IC13 - Rule 404: Books and Records to Be Made and Maintained by Funding Portals - Initial Burden	Information collection
IC4 - Form Funding Portal: Designation of U.S. Agent for Service of Process and Opinion of Counsel for Nonresident	Information collection
IC3 - Form Funding Portal-W: Notice of Withdrawal from Registration as a Funding Portal	Information collection
IC2 - Form Funding Portal/A: Amendment to Registration	Information collection
IC1 - Form Funding Portal: Application for Funding Portal Registration	Form and Instruction
IC1 - Form Funding Portal: Application for Funding Portal Registration	Form and Instruction

All Historical Document Collections

Historical document collections
Reference	Filing	Received	Action
202412-3235-002	Extension without change of a currently approved collection	2025-05-09
202203-3235-007	Extension without change of a currently approved collection	2022-05-20	Approved without change
201811-3235-007	Extension without change of a currently approved collection	2019-02-05	Approved without change
201511-3235-007	New collection (Request for a new OMB Control Number)	2015-11-18	Approved without change
201505-3235-009	New collection (Request for a new OMB Control Number)	2015-05-20	Comment filed on proposed rule

OMB Details

IC1 - Form Funding Portal: Application for Funding Portal Registration

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Information collection instruments
Form	Name	Electronic access	Type
Form Form Funding Portal	Form Funding Portal	www.sec.gov/files/formcfportal.pdf	Form and instruction

Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.