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Sellers Securities and Exchange Commission (SEC) Financial Industry Regulatory Authority (FINRA)

Akin Gump Strauss Hauer & Feld LLP

SEC Adopts Narrower Version of Dealer Registration Rules

Earlier today, the Securities and Exchange Commission in a 3‑2 vote adopted new Rules 3a5‑4 and 3a44‑2 (together, the Dealer Rules) under the Securities Exchange Act of 1934, as amended (the Exchange Act), that will define...more

Dechert LLP

FINRA Proposes Amendments to Rules 5130 and 5131 Governing Purchase and Sale of Initial Equity Public Offerings and New Issue...

Dechert LLP on

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

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