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FINRA Questionnaire (Individual)


Book Publication Date: Sep 2011
Description: Questionnaire that solicits information from all directors, officers, 5% or greater holders of any class of securities of a company and beneficial owners of the company's unregistered equity securities (including stock options) that were acquired during the last 180 days; used to obtain FINRA clearance of the underwriting terms and arrangements of company's IPO
Type: Questionnaires
PLI Item #: 41197
Practice Area: Corporate law, Securities and other financial products

Keywords: FINRA Questionnaire (Individual); arrangements relating to underwriting compensation; FINRA affiliations; beneficial ownership of company securities; offering participation; recent and proposed acquisitions of company securities; offering participation; recent and proposed acquisitions of company securities

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