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Expert Analysis

A Review Of FINRA Rule 5123

Law360, New York (July 20, 2012, 12:55 PM EDT) -- On June 7, 2012, after accepting two more amendments from the Financial Industry Regulatory Authority, the U.S. Securities and Exchange Commission approved FINRA Rule 5123 ("Private Placements of Securities").[1] Although the final rule is substantially narrower than FINRA's original proposal, it will still impose some new requirements on broker-dealers selling private placements....

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