SEC Approves FINRA Rule Proposal Related to Member Private Placements | Practical Law

SEC Approves FINRA Rule Proposal Related to Member Private Placements | Practical Law

An update on the SEC's approval of a FINRA rule proposal on reporting and other requirements for private placements of unregistered securities issued by FINRA members.

SEC Approves FINRA Rule Proposal Related to Member Private Placements

Practical Law Legal Update 9-385-2785 (Approx. 2 pages)

SEC Approves FINRA Rule Proposal Related to Member Private Placements

by PLC Corporate & Securities
Published on 20 Mar 2009 • USA (National/Federal)
An update on the SEC's approval of a FINRA rule proposal on reporting and other requirements for private placements of unregistered securities issued by FINRA members.