FINRA Questionnaire (Directors, Officers, and Shareholders) | Practical Law

FINRA Questionnaire (Directors, Officers, and Shareholders) | Practical Law

This Standard Document is a form of FINRA Questionnaire for directors, officers, and 10% or more shareholders. This questionnaire can be used in securities offerings to help collect and verify information for the purposes of FINRA compliance, primarily with Rule 5110 (Corporate Financing Rule - Underwriting Terms and Arrangements), Rule 5121 (Public Offerings of Securities With Conflicts of Interest), and the specific questions asked in FINRA's public offering filing system. Information collected by this questionnaire helps counsel make the necessary FINRA filings and obtain a no objections letter. This Standard Document has integrated notes with important explanations and drafting tips.

FINRA Questionnaire (Directors, Officers, and Shareholders)

Practical Law Standard Document w-031-9758 (Approx. 25 pages)

FINRA Questionnaire (Directors, Officers, and Shareholders)

by Practical Law Corporate & Securities
MaintainedUSA (National/Federal)
This Standard Document is a form of FINRA Questionnaire for directors, officers, and 10% or more shareholders. This questionnaire can be used in securities offerings to help collect and verify information for the purposes of FINRA compliance, primarily with Rule 5110 (Corporate Financing Rule - Underwriting Terms and Arrangements), Rule 5121 (Public Offerings of Securities With Conflicts of Interest), and the specific questions asked in FINRA's public offering filing system. Information collected by this questionnaire helps counsel make the necessary FINRA filings and obtain a no objections letter. This Standard Document has integrated notes with important explanations and drafting tips.