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SEC Approves FINRA Rule 5121 on Securities Offerings with Conflicts of Interest
Practical Law Legal Update 1-503-0548 (Approx. 3 pages)
SEC Approves FINRA Rule 5121 on Securities Offerings with Conflicts of Interest
by PLC Corporate & Securities
| Published on 13 Aug 2010 • USA (National/Federal) |
An update on the SEC approval of FINRA's proposed rule change adopting Rule 5121 into the FINRA consolidated rulebook.