The Financial Industry Regulatory Authority on July 26, 2019 filed with the Securities and Exchange Commission a proposal to amend FINRA Rules 5130 and 5131 (collectively, Rules) (Proposed Amendments).1 The Proposed...more
9/12/2019
/ 501(c)(3) ,
Alternate Investment Vehicles (AIVs) ,
Capital Formation ,
Corporate Issuers ,
Equity Markets ,
Exclusions ,
Exemptions ,
Family Businesses ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Investment ,
Foreign Investment Fund ,
Investment Funds ,
Investors ,
Market Allocation Scheme ,
Offerors ,
Private Equity ,
Proposed Amendments ,
Public Offerings ,
Securities and Exchange Commission (SEC) ,
Sellers ,
Stock Issuance