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

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Date Received
Date Letter Type Commenter Name
Public Comment Joseph P. Savage, Vice President & Counsel, FINRA Office of General Counsel
Public Comment MICK LAW P.C., L.L.O.
Public Comment Joseph P. Savage, Vice President & Counsel, FINRA Office of General Counsel
Public Comment Anthony Chereso, President CEO, Institute for Portfolio Alternatives
Public Comment Joseph P. Savage, Vice President & Counsel, Office of General Counsel, Financial Industry Regulatory Authority, Inc.
Public Comment Atish Davda, Co-Founder & CEO, EquityZen Inc., Phil Haslett, Co-Founder & Chief Revenue Officer, EquityZen Inc. and Chris Giampapa, General Counsel, EquityZen Inc.
Public Comment David P. Meyer, President, Public Investors Advocate Bar Association
Public Comment Lisa Hopkins, President, General Counsel and Senior Deputy, Commissioner of Securities, North American Securities Administrators Association, Inc.
Public Comment James P. Dowd, North Capital Private Securities Corp., Public Brokers, LLC
Public Comment Tom Selman, Founder, Scopus Financial Group

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2020-038
Release Number
34-90302
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