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Julia Gaffin

Mintz Levin


Latest Posts › Securities

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New FINRA Rule 5123 Regarding Private Placements of Securities Effective December 3, 2012

In an effort to enhance oversight and investor protection over private placement activity of firms on behalf of other issuers, new Financial Industry Regulatory Authority, Inc. (FINRA) Rule 5123 became effective on December...more

1/4/2013 - Commodity Pool Exemptions FINRA Private Investment Funds Private Placements Securities

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