FINRA Rule 5123 Checklist


Summary

This checklist provides guidance for filings pursuant to Financial Industry Regulatory Authority, Inc. (FINRA) Rule 5123, which requires that each FINRA member firm (generally, any entity registered as a broker/dealer with the Securities and Exchange Commission) that sells an issuer's securities in a private placement exempt from registration under the Securities Act of 1933, as amended (Securities Act), make a notice filing with FINRA’s Corporate Financing Department, unless a filing exemption is available.