FINRA Questionnaire | Practical Law

FINRA Questionnaire | Practical Law

In 2020, FINRA significantly amended the rules governing FINRA filings in securities offerings and updated the questions asked in the FINRA public offering filing system. This Standard Document reflects the 2020 rule amendments, but not the revised questions in the FINRA public offering filing system. Therefore, this Standard Document has been superseded by Standard Document, FINRA Questionnaire (Underwriters), which reflects both the 2020 amendments and the updates to the public offering filing system. Additionally, for other current FINRA questionnaires, see Standard Document, FINRA Questionnaire (Directors, Officers, and Shareholders) and Standard Document, FINRA Questionnaire (Issuer).

FINRA Questionnaire

Practical Law Standard Document 4-505-9465 (Approx. 14 pages)

FINRA Questionnaire

by Practical Law Corporate & Securities
Law stated as of 01 May 2021 • USA (National/Federal)
In 2020, FINRA significantly amended the rules governing FINRA filings in securities offerings and updated the questions asked in the FINRA public offering filing system. This Standard Document reflects the 2020 rule amendments, but not the revised questions in the FINRA public offering filing system. Therefore, this Standard Document has been superseded by Standard Document, FINRA Questionnaire (Underwriters), which reflects both the 2020 amendments and the updates to the public offering filing system. Additionally, for other current FINRA questionnaires, see Standard Document, FINRA Questionnaire (Directors, Officers, and Shareholders) and Standard Document, FINRA Questionnaire (Issuer).
This Standard Document is a form of FINRA Questionnaire and can be used in registered securities offerings to help collect and verify information relating to underwriter compensation and conflicts of interest from the underwriters of the Offering. This information will help counsel make necessary filings with FINRA to obtain a no objections letter so that the offering may proceed or, if applicable, verify that the offering is exempt from filing. This Standard Document has integrated notes with important explanations and drafting tips.