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FINRA Questionnaire (Issuer)


Book Publication Date: Sep 2011
Description: Questionnaire that solicits information from a company that may be furnished to FINRA in connection with obtaining FINRA clearance of the underwriting terms and arrangements of company's IPO
Type: Questionnaires
PLI Item #: 41196
Practice Area: Corporate law, Securities and other financial products

Keywords: "FINRA Questionnaire (Issuer)"; "arrangements related to underwriting compensation"; "FINRA affiliations"; "recent issuances of company securities"; payment of offering proceeds to FINRA members participating in offering; item of value; derivative instrument; underwriter and related person; common control; beneficial ownership; immediate family

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