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Exemptions › Investment Funds › Initial Public Offering (IPO)

Eversheds Sutherland (US) LLP

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

Eversheds Sutherland (US) LLP on

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

Eversheds Sutherland (US) LLP

FINRA proposes changes to Rules 5130 and 5131, exempting non-traded BDCs from restrictions on participating in IPOs

Eversheds Sutherland (US) LLP on

On March 20, 2025, the Financial Industry Regulatory Authority, Inc. (FINRA) filed a proposed rule change with the US Securities and Exchange Commission (SEC) to exempt certain business development companies (BDCs) from FINRA...more

Blake, Cassels & Graydon LLP

CSA Blanket Orders Aim to Warm Up Canadian Capital Markets

Blake, Cassels & Graydon LLP on

Amid continuing market uncertainty that has seen a slowdown of Canadian initial public offerings (IPOs) during the first quarter of 2025, the Canadian Securities Administrators (CSA) has published a series of coordinated...more

Akin Gump Strauss Hauer & Feld LLP

January 1 Effective Date for FINRA IPO Allocation Rules Changes

Akin Gump Strauss Hauer & Feld LLP on

On December 19, 2019, the Financial Industry Regulatory Authority, Inc. (FINRA) adopted amendments to Rules 5130 and 5131 (the “New Issues Rules”) to permit allocations of initial public offering (IPO) profits to certain...more

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