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ARTICLE · 31 JULY 2019

FINRA Resource On Private Placement Filings

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FINRA has released guidance, in question-and-answer format, with respect to FINRA member firm requirements to make filings under FINRA Rule 5122 and Rule 5123.

United StatesFinance and Banking
Anna T. Pinedo
Anna T. Pinedo
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FINRA has released guidance, in question-and-answer format, with respect to FINRA member firm requirements to make filings under FINRA Rule 5122 and Rule 5123. The Q&A addresses a number of frequently asked questions, including whether a placement agent may file on its behalf and on behalf of other placement agents, the types of materials that must be filed, and the review process. See FINRA's website.

Originally published July 29, 2019

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