Comments on FINRA Rulemaking

Notice of Filing of Proposed Amendments to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) that Would Require Members to File Retail Communications Concerning Private Placement Offerings that are Subject to Those Rules’ Filing Requirements

[Release No. 34-90302; File No. SR-FINRA-2020-038]

Submitted Comments
Apr. 12, 2021 Joseph P. Savage, Vice President & Counsel, FINRA Office of General Counsel
Feb. 2, 2021 MICK LAW P.C., L.L.O.
Jan. 29, 2021 Joseph P. Savage, Vice President & Counsel, FINRA Office of General Counsel
Jan. 26, 2021 Anthony Chereso, President CEO, Institute for Portfolio Alternatives
Jan. 12, 2021 Joseph P. Savage, Vice President & Counsel, Office of General Counsel, Financial Industry Regulatory Authority, Inc.
Dec. 4, 2020 Atish Davda, Co-Founder & CEO, EquityZen Inc., Phil Haslett, Co-Founder & Chief Revenue Officer, EquityZen Inc. and Chris Giampapa, General Counsel, EquityZen Inc.
Nov. 27, 2020 David P. Meyer, President, Public Investors Advocate Bar Association
Nov. 24, 2020 Lisa Hopkins, President, General Counsel and Senior Deputy, Commissioner of Securities, North American Securities Administrators Association, Inc.
Nov. 23, 2020 James P. Dowd, North Capital Private Securities Corp., Public Brokers, LLC
Nov. 22, 2020 Tom Selman, Founder, Scopus Financial Group