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Filing Requirements Private Placements Securities Regulation

Dorsey & Whitney LLP

EDGAR Next is Live - What Canadian Issuers Need to Know

Dorsey & Whitney LLP on

The SEC has updated the EDGAR system’s login, password, and access protocols which will affect Canadian SEC reporting companies and other individuals and entities with EDGAR filing codes, including non-reporting companies...more

Mayer Brown Free Writings + Perspectives

FINRA Expands Scope of Filing Requirements for Private Placements

In Regulatory Notice 21-26 (July 15, 2021), FINRA amended the filing requirements of Rules 5122 and 5123 to require members to file with FINRA any “retail communications,” as defined in FINRA Rule 2210, that promote or...more

Mayer Brown Free Writings + Perspectives

FINRA Proposes to Amend Rules 5122 and 5123

FINRA filed with the Securities and Exchange Commission (SEC) proposed amendments to the private placement filer form that members complete in connection with private placement filings made pursuant to either Rule 5122 or...more

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