United States:
Federal Register: SEC Requests Comments On FINRA Proposal To Modify Private Placement Filer Form
11 April 2017
Cadwalader, Wickersham & Taft LLP
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The SEC requested comments on a FINRA proposal (see
previous coverage) that would modify certain questions in the
Private Placement Filer Form, which firms are required to file
pursuant to FINRA Rules
5122 ("Private Placements of Securities Issued by
Members") and
5123 ("Private Placements of Securities"). The
request for comments was published in the Federal Register.
Comments on the FINRA proposal must be submitted by April 24,
2017.
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.
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