Form CFPORTAL/A Filings

What Is SEC Form CFPORTAL/A?

SEC Form CFPORTAL/A is an amendment to Form Funding Portal used when information previously filed with the SEC becomes inaccurate or must be updated. It applies to funding portal registration records maintained under the Securities Exchange Act of 1934.

This form is typically filed when a funding portal changes identifying, ownership, control, or disciplinary information, or when a successor registration update is required.

Form CFPORTAL/A supports transparency by updating a funding portal’s SEC registration record. It is an event-driven amendment rather than a periodic report, and certain nonresident updates may involve additional crowdfunding filings, records, and Schedule C requirements.

Key elements typically found in SEC Form CFPORTAL/A include:

• Name of the funding portal, principal business address, and contact information
• Business names or website URLs used by the applicant, if different
• Explanation describing the amendment to the most recent Form Funding Portal
• Information regarding ownership, control relationships, principals, and disciplinary disclosures
• Successor registration details, if applicable
• Nonresident funding portal Schedule C updates, if applicable

SEC Form CFPORTAL/A Filing Deadlines

SEC Form CFPORTAL/A has timing requirements that apply when previously submitted information becomes inaccurate or when specified nonresident funding portal information changes. These deadlines are important to maintain compliance with the SEC’s funding portal registration rules.

Key Things to Know About Form CFPORTAL/A Filing Rules

• Amendments Are Event-Driven: Form CFPORTAL/A is filed when previously submitted information becomes inaccurate, rather than on a recurring periodic schedule.
• Used for Registration Updates: The form is used to amend a funding portal’s most recent Form Funding Portal, including certain successor registration changes.
• Nonresident Filers Have Additional Obligations: Nonresident funding portals may need to amend Schedule C promptly and re-certify within 90 days after certain legal or regulatory changes.
• Filed Electronically Through EDGAR: Funding portals file and amend Form Funding Portal electronically through the SEC’s EDGAR system.
• FINRA Membership Still Matters: Funding portal registration effectiveness is tied in part to approval for membership in a registered national securities association, currently FINRA.

Our SEC Edgar Search tools platform helps you track registration changes, amendment activity, and disclosure updates by monitoring key filings and real-time SEC notifications linked to funding portal compliance records