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Jun 28, 2012

Private Placement Update: SEC Approves FINRA Private Placement Rule

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On June 7, 2012, the U.S. Securities and Exchange Commission approved FINRA Rule 5123 governing regulation of broker-dealer participation in private placements of securities. The new rule will require member firms to file certain disclosure documents and material amendments to previous disclosure documents with FINRA.

View full memo, "Private Placement Update: SEC Approves FINRA Private Placement Rule"

Authors and Contributors

Charles Gittleman

Of Counsel

Financial Institutions Advisory & Financial Regulatory

+1 212 848 7317

+1 212 848 7317

New York

Russell Sacks

Partner

Financial Institutions Advisory & Financial Regulatory

+1 212 848 7585

+1 212 848 7585

New York