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02/01/2012 07:00:00 PM EST

FINRA Amends Proposal Requiring Filings for Private Placements

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Banking & Financial services Articles on Martindale.com

On January 20, 2012, FINRA filed with the SEC a partial amendment to proposed FINRA Rule 5123 (Private Placement of Securities). This proposed rule would require broker-dealers to make filings with FINRA concerning most private placements they sell to Read More...