United States: FINRA Issues Proposal To Mandate Filing Of All Retail Communications Regarding Certain Private Placements - Latham & Watkins LLP

United States: FINRA Issues Proposal To Mandate Filing Of All Retail Communications Regarding Certain Private Placements - Latham & Watkins LLP

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Published

In setting forth its rationale, FINRA observed that private placement retail communications reviewed by AdReg have "revealed significant and pervasive" violations of FINRA Rule 2210.

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