FINRA posted a set of FAQs on the filing requirements of Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities).  The FAQs discuss filing retail communications relating to private placements, including where to file such communications, whether updated versions of retail communications need to be refiled, when to file, how to file retail communications such as videos and websites, retail communications promoting or recommending multiple private placements and which firm is responsible for filing when one FINRA member firm submits filings on behalf of other member firms.

The FAQs are available at: Frequently Asked Questions Related to Filing Requirements of Rules 5122 and 5123 |