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Commentary by Steven Lofchie

FINRA provided guidance on its filing requirements and review procedures for firms that are participating in offerings under the recently amended Regulation A (popularly known as "Regulation A+"), which allows for lightly regulated offerings of up to $50 million in securities during a 12-month period. Specifically, FINRA provided guidance on its Corporate Financing Rules 5110 ("Corporate Financing Rule - Underwriting Terms and Arrangements"), 2310 ("Direct Participation Programs") and 5121 ("Public Offerings of Securities with Conflicts of Interest"), which require firms that participate in