Jun 28, 2012

Private Placement Update: SEC Approves FINRA Private Placement Rule

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ジャンプリンクテキスト

 
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"

著者等

Charles Gittleman

オブ・カウンセル

金融機関助言・金融規制

+1 212 848 7317

+1 212 848 7317

ニューヨーク

Russell Sacks

パートナー

金融機関助言・金融規制

+1 212 848 7585

+1 212 848 7585

ニューヨーク