Regulatory Notice 17-17

FINRA Updates Private Placement Filer Form 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 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) (Filer Form). The updated Filer Form, which will be available in the FINRA Firm Gateway beginning May 22, 2017, includes new and updated questions that will facilitate review of the filed material and eliminates other questions. See Attachment A for a copy of the updated Filer Form.

Questions regarding this Notice may be directed to:

  • Minh Le, Director, Corporate Financing, at (240) 386-4638; or
  • Ryan Smith, Director, Corporate Financing, at (240) 386-4598.