Tag Archives: Regulatory Notice 11-04

FINRA Comment Letter – Rule 5122 Member Participation in Private Placements

FINRA¬†Comment Letter – Rule 5122 Member Participation in Private Placements On January 11, 2011, the Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 11-04 (Regulatory Notice) seeking comments on its proposal to amend its rules governing member participation in private placements through a proposed amendment to FINRA Rule 5122 (Proposed Rule Amendment”). As stated by … Continue reading FINRA Comment Letter – Rule 5122 Member Participation in Private Placements