Login  |  Register

Private Placement Frequently Asked Questions (FAQ) | FINRA.org

Effective December 3, 2012, in order to satisfy filing requirements under Rules 5122 and 5123, firms must file the offering documents used in connection with the sale of an applicable private placement via the Private Placement Filing System in FINRA Firm Gateway unless the offering meets one of the enumerated exemptions under the …

Alexa Traffic