X

FINRA Proposed Rule Change to Rule 5123 (Private Placements of Securities)

FINRA filed a proposed rule change with the SEC relating to members' filing obligations regarding Private Placements of Securities (Rule 5123); the rule change would require members to file documents on a FINRA electronic system.

See: Text of proposed rule change.

Tags

Regulated Activities
Regulatory Reporting Distribution Procedures
Sub-Activity
Private Placements; SA Section 4(a)(2)
Regulated Entities
Broker-Dealers
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
FINRA