Charles Gittleman

A&O Shearman

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Latest Posts › Initial Public Offering (IPO)

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FINRA’s New Fixed Income Research Rule and Modifications to Equity Research Rule

The long anticipated overhaul of FINRA’s research rules has now been approved by the SEC. Most provisions of the new equity research rule will become effective on December 24, 2015, with limited provisions, including changes...more

10/6/2015 / Equity Investors , Equity Research Rule , Financial Industry Regulatory Authority (FINRA) , Fixed Income Investments , Initial Public Offering (IPO) , Investment Banks

FINRA Publishes FAQs Regarding Research Conflicts of Interest in the Offering Process

In late May, FINRA published a set of Frequently Asked Questions regarding its equity research rule, which address interactions between issuers, research analysts, and investment bankers in various stages of the offering...more

10/6/2015 / Business Valuations , Conflicts of Interest , Equity Research Rule , Financial Analysts , Financial Industry Regulatory Authority (FINRA) , General Solicitation , Initial Public Offering (IPO) , Offerings , Public Offerings

SEC Approves Amendment to FINRA IPO Allocation Rule 5131, Easing Compliance for Fund Investors

Introduction - On November 27, 2013, the Securities and Exchange Commission (“SEC”) approved a change (the “Amendment”) to FINRA’s IPO allocation rule 5131 (the “Rule”).The Amendment allows a fund-of-funds to rely on a...more

12/9/2013 / Financial Industry Regulatory Authority (FINRA) , Initial Public Offering (IPO) , Investment Funds , Investors , Securities and Exchange Commission (SEC)

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