FINRA 5121 Sample Prospectus Disclosure

Resource type: Standard Clauses

Status: Maintained

Jurisdiction: USA

Form disclosure to include in the underwriting section (or separate conflicts of interest section) of a prospectus in an offering with a conflict of interest under FINRA Rule 5121 (known as the prominent disclosure rule). This Standard Clause has integrated notes with important explanations and drafting tips.

PLC Corporate & Securities


 

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  • Resource ID: 2-500-6166
  • Products:  PLC US Corporate & Securities, PLC US Law Department
  • This resource is maintained, meaning that we monitor developments on a regular basis and update it as soon as possible.
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