News & Analysis as of

Investment Company Act of 1940 › Business Development Companies › Financial Industry Regulatory Authority (FINRA)

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

Blank Rome LLP

Regulatory Update and Recent SEC Actions - January 2020

Blank Rome LLP on

REGULATORY UPDATES - FINRA Issues Regulation Best Interest Checklist for Brokers - On October 8, 2019, the Financial Industry Regulatory Authority (“FINRA”) announced it will provide new resources to assist member firms...more

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