FINRA Proposes Rule Governing Private Placements Of Unregistered Securities Of Broker-Dealers Or Their Control Entities
Mondaq Business Briefing › United States Law Articles in English (2009)
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FINRA Proposes Rule Governing Private Placements Of Unregistered Securities Of Broker-Dealers Or Their Control Entities
On January 16, 2009, the Securities and Exchange Commission
("SEC") published a proposal by the Financial IndustryRegulatory Authority, Inc. ("FINRA") to establish a rulewhich would, for the first time, regulate "member privateofferings," private offerings of unregistered securities ofFINRA me...See the full content of this document
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