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FINRA Updates Private Placement Form

Morrison & Foerster LLP Author: Nilene Evans To improve member firm due diligence in private placements, FINRA has announced that firms must file pursuant to Rule 5123 (Private Placement of Securities) and Rule 5122 (Private Placements of Securities Issued by…

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Annual SEC© Filing Reminder

In response to a large number of recent inquires, this post is a reminder of the following annual filing requirements for certain SEC© Form Types. Form 13H: This is the first year for annual 13H filings. The annual filing on Form Type…

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SEC© has updated its Oil & Gas C&DI

The SEC© has released an updated Compliance and Disclosure Interpretation (C&DI) comprising interpretations of the Oil and Gas Rules contained in Regulation S-X and Regulation S-K. The updated C&DI is available at:

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