July 14, 2020

FINRA Issues Guidance on Retail Communications in Private Placements

Deric Behar, Naim Culhaci, Dana Fleischman, Stephen Wink

+ Follow Contact

Send

Embed

The guidance highlights certain issues identified by FINRA regarding member firm communications to retail investors in private placement offerings.

On July 1, 2020, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 20-21 (RN 20-21) to assist member firms in their creation, review, approval, distribution, and use of retail communications regarding privately placed securities.

Please see full publication below for more information.

View PDF

Download PDF [295KB]

Report

LOADING PDF: If there are any problems, click here to download the file.

Send Report

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.