FINRA Rule 5121 Conflicts of Interest Prospectus Disclosure

Summary

The clauses below provide a number of "prominent disclosure" examples required by Financial Industry Regulatory Authority, Inc. (FINRA) Rule 5121 in the "summary of the offering" and "plan of distribution" sections of a prospectus or other offering document. Rule 5121 prescribes disclosure and other requirements when a FINRA member firm (i.e., an entity registered as a broker/dealer with the Securities and Exchange Commission (SEC) and as a member of FINRA, and referred to herein both as a "FINRA member" and a "broker/dealer") participating in the distribution of a public offering of securities has a conflict of interest, as defined in the Rule.