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.
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