Proposed Amendments to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) that Would Require Members to File Retail Communications Concerning Private Placement Offerings
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) proposed amendments to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) that would require members to file retail communications concerning private placement offerings that are subject to those rules’ filing requirements.
Title | Format - Size | Status |
---|---|---|
Text of the Proposed Rule Change | PDF - 191.04 KB | |
Federal Register Notice | PDF - 251.58 KB | |
Extension No. 1 | PDF - 54.92 KB | |
Amendment No. 1 to Proposed Rule Change | PDF - 110.49 KB | |
Response to Comments | PDF - 76.89 KB | |
Response to Comments No. 2 | PDF - 60.45 KB | |
Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove | PDF - 280.04 KB | |
Response to Comments No. 3 | PDF - 256.94 KB | |
Extension No. 2 | PDF - 260.75 KB | |
Extension No. 3 | PDF - 260.72 KB | |
Approval Order | PDF - 433.56 KB |