Julia Corelli

Julia Corelli

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Investment Funds Need To Be Aware: Broker-Dealer Private Placement Compliance Requirements Are Now In Effect

New FINRA Rule 5123 is now applicable and investment funds need to be cognizant of its requirements. Approved last June, Rule 5123 requires FINRA member firms (principally broker-dealers) participating in private placements...more

2/6/2013  /  Broker-Dealer , Compliance , Filing Requirements , Financial Industry Regulatory Authority (FINRA) , Fundraisers , Investment Funds , JOBS Act , Private Placements , Securities and Exchange Commission (SEC)
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