Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change Relating to Amendments to FINRA Rule 5110 (Corporate Financing Rule--Underwriting Terms and Arrangements) As Amended 来自 thefederalregister.com 喜欢 0 阅读量: 28 ...
The article reports on the Financial Industry Regulation Authority's (FINRA) release of a set of frequently asked questions (FAQ) relating to its public offering process and the Corporate Financial Rule (Rule 5110). It provides guidance on lock-up requirements and exemptions, filing exemption and...
In accordance with Rule 5110(b)(7)(C)(i) of the Financial Institution Regulatory Authority (the “FINRA”), the Securities have been registered with the Commission on Form S-3 under the 1933 Act pursuant to the standards for such Form S-3 in effect prior to October 21, 1992. Sample ...
Rules 2310 (Direct Participation Programs); 2320 (Variable Contracts of an Insurance Company); 2341 (Investment Company Securities), which governs mutual funds and interval funds; and 5110 (Corporate Financing Rule – Underwriting Terms
FINRA Filings. Be primarily responsible for any necessary Rule 5110 FINRA filings regarding compensation arrangements of the MB by reason of the Offering; and