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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 Filer Form Change PDF - 1.39 MB
Notice of Filing and Immediate Effectiveness PDF - 465.25 KB