Securities, Private Placements

FINRA Offers Regulatory Road Map for 2013

by Christopher Gallagher, Richard Levin, David Rice | BakerHostetler on 2/7/2013

On January 11, 2013, the Financial Industry Regulatory Authority (FINRA) issued its annual Regulatory and Examination Priorities Letter (Priorities Letter) to member firms, which highlights its primary areas of focus for the...more

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

by Jason Schendel | Sheppard Mullin Richter & Hampton LLP on 1/25/2013

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

Securities Law Essentials For Growing Companies

by David Jenson, Stephen M. Quinlivan | Leonard, Street and Deinard - Dodd-Frank and... on 1/16/2013

We recently gave a presentation at a CLE titled Securities Law Essentials for Growing Companies. The presentation included an overview of what constitutes a public offering, what is a security, classical private placements,...more

FINRA Releases Guidance on Notice Filings for Private Placements

by Jason P. Juall | Holland & Knight LLP on 1/9/2013

The Financial Industry Regulatory Authority (FINRA) has released new guidance on filing under FINRA Rule 5123 in the form of a frequently asked questions (FAQs) page and user guide, both available on FINRA's website....more

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

by Julia Gaffin, Steve Ganis | Mintz Levin - Corporate & Securities on 1/4/2013

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

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Securities › Private Placements

FINRA Offers Regulatory Road Map for 2013

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

Securities Law Essentials For Growing Companies

FINRA Releases Guidance on Notice Filings for Private Placements

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

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