Lydia Florez

Lydia Florez

Eversheds Sutherland (US) LLP

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Amendments to FINRA Rules 5130 and 5131 allow non-traded and Private BDCs to participate in IPOs

On July 23, 2025, the Financial Industry Regulatory Authority, Inc. (FINRA) adopted amendments exempting business development companies (BDCs) from FINRA Rule 5130 (Rule 5130) (Restrictions on the Purchase and Sale of Initial...more

8/25/2025  /  Broker-Dealer , Business Development Companies , Exemptions , Financial Industry Regulatory Authority (FINRA) , Initial Public Offering (IPO) , Investment Company Act of 1940 , Investment Funds , New Rules , Securities Regulation
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