FINRA Proposes Rule 5123 Requiring Disclosure for Private Placements | Practical Law
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On October 4, 2011, FINRA proposed new Rule 5123 to ensure that investors in private placements have detailed information about the anticipated use of proceeds, the offering expenses and the offering compensation.
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FINRA Proposes Rule 5123 Requiring Disclosure for Private Placements
Practical Law Legal Update 4-508-9014
(Approx. 4 pages)
FINRA Proposes Rule 5123 Requiring Disclosure for Private Placements
by PLC Corporate & Securities
Related Content
Published on 06 Oct 2011
•
USA (National/Federal)
On October 4, 2011, FINRA proposed new Rule 5123 to ensure that investors in private placements have detailed information about the anticipated use of proceeds, the offering expenses and the offering compensation.