SEC Approves FINRA Rule 5121 on Securities Offerings with Conflicts of Interest | Practical Law
https://content.next.westlaw.com/practical-law/document/Ibb0a5fa1ef0511e28578f7ccc38dcbee/SEC-Approves-FINRA-Rule-5121-on-Securities-Offerings-with-Conflicts-of-Interest?viewType=FullText&transitionType=Default&contextData=(sc.Default)
An update on the SEC approval of FINRA's proposed rule change adopting Rule 5121 into the FINRA consolidated rulebook.
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SEC Approves FINRA Rule 5121 on Securities Offerings with Conflicts of Interest
Practical Law Legal Update 1-503-0548
(Approx. 3 pages)
SEC Approves FINRA Rule 5121 on Securities Offerings with Conflicts of Interest
by PLC Corporate & Securities
Related Content
Published on 13 Aug 2010
•
USA (National/Federal)
An update on the SEC approval of FINRA's proposed rule change adopting Rule 5121 into the FINRA consolidated rulebook.