Charles Gittleman

Charles Gittleman

Shearman & Sterling LLP

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Private Placement Update: FINRA Proposes Form of Electronic Filing for Private Placements Under Rule 5123

On June 20, 2013, the U.S. Financial Industry Regulatory Authority, Inc. (“FINRA”) filed a proposed rule change with the Securities and Exchange Commission (“SEC”) concerning the obligations of members under FINRA Rule 5123...more

6/25/2013 - E-Filing FINRA Private Placements Proposed Amendments SEC

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