FINRA provided guidance for broker-dealers on (i) compliance with its private placement filing rules (see here) and (ii) the public offering process (see here).
FINRA's firm guidance on private placement filings addresses:
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types of Regulation D offerings and other types of unregistered offerings;
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rules and filing requirements;
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the steps of the filing process; and
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the document review process.
FINRA's guidance on the public offering review process explains:
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the public offering filing system;
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how to handle conflicts of interest in connection with a public offering; and
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document review programs.
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
