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Washington, DC - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Pacific Cornerstone Capital, Inc. of Irvine, CA, and its former chief executive officer, Terry Roussel, a total of $750,000 for failing to include full and accurate information in private placement offering documents and marketing material.
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Member Private Offerings
Executive Summary
NASD is issuing this Notice to Members to solicit comments from members
FINRA Rule 5123(a) requires firms that sell a private placement to file a copy of any offering document with FINRA within 15 calendar days of the first sale, subject to certain exemptions. FINRA Rule 5122(b)(2) requires firms that sell a private placement of unregistered securities issued by a member or a control entity to file a copy of any offering document with FINRA at or prior to the time it
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) has issued a warning about scams that purport to offer investors' access to pre-IPO shares of well-known social media companies, including Facebook.
SEC Approves New FINRA Rule 5123 Regarding Private Placements of Securities
(a) Definitions
(1) Member Private Offering
A "member private offering" means a private placement of unregistered securities issued by a member or a control entity.
(2) Control Entity
A "control entity" means any entity that controls or is under common control with a member, or that is controlled by a
(a) Definitions
(1) Member Private Offering
A "member private offering" means a private placement of unregistered securities issued by a member or a control entity.
(2) Control Entity
A "control entity" means any entity that controls or is under common control with a member, or that is controlled by a member or its associated persons.
(3) Control
The term "control
All capital acquisition brokers are subject to FINRA Rule 5122.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
Beginning June 9, 2023, candidates will need an approved accommodation to schedule an online appointment for an NFA or FINRA exam (other than the SIE). Online appointments scheduled to be taken after Sept. 9, 2023, will be canceled if the candidate does not have an approved accommodation.
Learn more in the How to Schedule an Appointment to Take Exams Online (Remotely) section of the Schedule
Request for Interpretive Guidance on FINRA Rule 2111 (Suitability) in Relation to EB-5 Program Securities Transactions