Proposed Rule Change Relating to Members’ Filing Obligations Under FINRA Rule 5123 (Private Placements of Securities)

Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change related to members' filing obligations under Rule 5123 (Private Placements of Securities).

DateTitleFormat - SizeStatus
6/20/2013Text of Proposed Rule ChangePDF - 1.24 MB
7/1/2013Notice of Filing and Immediate EffectivenessPDF - 203.03 KB
8/19/2013Response to CommentsPDF - 1.78 MB