Aggregated News From Investment Management Regulators

FINRA Releases Guidance on Retail Communications Concerning Private Placement Offerings

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On July 1, 2020, FINRA issued guidance on the application of FINRA Rule 2210, Communications with the Public, when creating, reviewing, approving, distributing, or using retail communications concerning certain private placement offerings. The guidance is intended to address the subset of private offerings that are sold directly by FINRA member firms to individuals and filed with FINRA pursuant to FINRA Rules 5122 and 5123.

Read the full article from Greenberg Traurig here: https://www.gtlaw.com/en/insights/2020/7/finra-releases-guidance-on-retail-communications-concerning-private-placement-offerings

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