FINRA Proposes New Rule 5122 to Govern Member Private Offerings

by Julie M. Allen View Biography
Allan R. Williams View Biography
Stuart Bressman View Biography
Proskauer Rose LLP View Firm Credentials
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September 4, 2008

Previously published on August 2008

The Financial Industry Regulatory Authority, Inc. ("FINRA," formerly known as the "NASD") filed with the U.S. Securities Exchange Commission ("SEC") on June 5, 2008 a proposed rule change to adopt new FINRA Rule 5122 (the "Rule").

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FINRA Proposes New Rule 5122 to Govern Member Private Offerings

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