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Business Development Companies › Initial Public Offering (IPO) › Financial Industry Regulatory Authority (FINRA)

Mayer Brown Free Writings + Perspectives

FINRA Proposes to Exempt BDCs from its IPO Purchase Restriction Rules

Mayer Brown Free Writings + Perspectives on

On March 20, 2025, the Financial Industry Regulatory Authority (FINRA) proposed amendments to its rules imposing restrictions on the purchase and sale of equity securities offered in initial public offerings (IPOs) (Rule...more

Katten Muchin Rosenman LLP

Amendments to FINRA New Issue Rules 5130 and 5131 Effective January 1, 2020

Katten Muchin Rosenman LLP on

KEY POINTS - - Amendments to FINRA Rules 5130 and 5131, which govern the offer and sale of "New Issue" securities went into effect on January 1. - FINRA Rule 5130 prohibits a broker-dealer from selling New Issues to...more

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