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For your firm to become a registered funding portal with FINRA, your firm must complete the following steps.
1. Reserve Your Firm’s Name
Make sure to request and reserve a proposed name for your firm from FINRA before filing with the SEC. FINRA checks that the name is not identical to an existing member firm’s name or so similar that it will confuse or mislead others.
To reserve a name, please
FINRA is requesting comment on a proposal to create a new academic TRACE data set that would be available to institutions of higher education.
FINRA Requests Comment on a New Academic TRACE Data Product