FINRA Amendments to Rules 5130 and 5131 -
The Financial Industry Regulatory Authority, Inc. (“FINRA”) recently effected changes to its rules regarding the purchase, sale, allocation, and distribution of initial equity...more
4/14/2020
/ Amended Regulation ,
Anti-Spinning Rules ,
Corporate Issuers ,
Family Businesses ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Investment Entities (FIEs) ,
Foreign Offerings ,
Fund Managers ,
Initial Public Offering (IPO) ,
Portfolio Managers ,
Retirement Funds ,
Securities and Exchange Commission (SEC) ,
Sovereign Wealth Funds ,
Special Purpose Acquisition Companies (SPACs)