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Regulatory Release

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Private Placement Filer Form Under FINRA Rules 5122 and 5123

Details

Rule Type

Notice

Release Number

34-91047

SEC Issue Date

Feb. 3, 2021 | 1:49 pm ET

Federal Register Publish Date

Feb. 9, 2021 | 11:32 pm ET

Document Citation

86 FR 8819

Resources

34-91047

Federal Register Version

SRO Organization

Financial Industry Regulatory Authority (FINRA)

Last Reviewed or Updated: July 19, 2023

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Private Placement Filer Form Under FINRA Rules 5122 and 5123

Details

Resources

More in this Section

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Private Placement Filer Form Under FINRA Rules 5122 and 5123

Details

Resources