FINRA · rule-notice · notice
FINRA amends Rules 5110 and 5123 on underwriting and private placements
FINRA amended Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) and Rule 5123 (Private Placements of Securities) with substantive, organizational, and terminology changes. The amendments simplify and clarify rule provisions while maintaining protections…
Read the notice at finra.org →
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