Comments on FINRA Rulemaking

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Members' Filing Obligations under FINRA Rule 5123 (Private Placements of Securities)

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Date Received
Date Letter Type Commenter Name
Public Comment FINRA, Washington, District of Columbia
Public Comment Catherine T. Dixon, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association
Public Comment Scott C. Ilgenfritz, President, Public Investors Arbitration Bar Association, Tampa, Florida
Public Comment Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
Public Comment Sullivan & Cromwell LLP

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2013-026
Release Number
34-69843
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