Proposed Rule Change Relating to the Private Placement Filer Form under FINRA Rules 5122 and 5123
Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") proposed changes to the Private Placement Filer Form ("Filer Form") that members complete when submitting private placement filings under FINRA Rules 5122 (Private Placements of Securities Issued by Members) or 5123 (Private Placements of Securities).
|Title||Format - Size||Status|
|Text of the Proposed Rule Change||PDF - 803.13 KB|
|Notice of Filing and Immediate Effectiveness||PDF - 197.18 KB|