FINRA Proposes Rule 5123 to Require Filing of Private Placement Memoranda and Certain DisclosuresC. Baird Brown
The Report also addresses recent amendments to FINRA Rule 2232 and the Municipal Securities Rulemaking Board’s Rule G-15, which have required firms to provide additional transaction-related information to retail customers for certain trades in corporate, agency, and municipal debt secu...
Private Placement Update: FINRA Proposes Form of Electronic Filing for Private Placements Under Rule 5123Sacks, Russell