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Effective Date for Use of Updated FINRA Private Placement Filer Form

Name: Effective Date for Use of Updated FINRA Private Placement Filer Form
Start: 2017-05-22T00:00:00-05:00
End: 2017-05-22T23:59:59-05:00

May 22, 2017

The updated Financial Industry Regulatory Authority (“FINRA”) Private Placement Filer Form required by member firms to file offering documents and information pursuant to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) (Filer Form) will be required to be utilized on the FINRA Firm Gateway beginning on May 22, 2017.

Details

Date:: May 22, 2017
Event Category:: Compliance
Event Tags:: Private Placements