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).

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 1.24 MB
Notice of Filing and Immediate EffectivenessPDF - 203.03 KB
Response to CommentsPDF - 1.78 MB