Jason Schendel

Jason Schendel

Sheppard Mullin Richter & Hampton LLP

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FINRA Adopts Rule 5123 Requiring the Filing of Offering Documents used in Private Placements of Securities

A new rule requiring FINRA member firms to file copies of certain offering documents related to private placement transactions was approved by the SEC and was effective as of December 3, 2012. FINRA has published FAQs...more

1/25/2013 - FINRA Offering Documents Private Placements SEC Securities

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