FINRA Seeks Public Comment on Proposed Rule Changes
By EsqSocial Corporation 23/12/24
On December 20, 2024, FINRA requested public comment on its proposed rule changes to Rules 5110 (Underwriting Terms and Arrangements), 5121 (Public Offerings of Securities With Conflicts of Interest) and 5123 (Private Placements of Securities). These proposed rule changes stem from comments received from the public in response to the May 2023 Regulatory Notice 23-09, which we blogged about, that relate to rules that impact capital formation....
By: Mayer Brown Free Writings + Perspectives