Regulatory Notice 13-26

FINRA Updates Form for Filing Private Placements of Securities Pursuant to FINRA Rules 5122 and 5123

Executive Summary

FINRA has updated the form that firms must use to file offering documents and information pursuant to FINRA Rules 5123 (Private Placements of Securities) and 5122 (Private Placements of Securities Issued by Members). The updated form, which is available in the FINRA Firm Gateway, includes six new questions, which are further described in this Notice. FINRA also has updated the Private Placement Form Frequently Asked Questions (FAQ).

 

Questions concerning this Notice should be directed to:

  • Joseph E. Price, Senior Vice President, Corporate Financing Department, at (240) 386-4642; or
  • Lisa Jones Toms, Senior Director and Counsel, Corporate Financing Department, at (240) 386-4623.
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