03/19/2013 08:00 a.m. - 10:00 a.m.
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, and Broker-Dealer Compliance + Regulation
Morrison & Foerster LLP1290 Avenue of the Americas39th FloorNew York, NY 10104
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A review of the FINRA rules applicable to offerings, including new Rule 5123, which becomes effective soon. We will also cover the rules relating to research on emerging growth companies, and proposed debt research rules.
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