FINRA Rule 5130 -Covers Restriction on the Purchase and Sale of Initial Equity Public Offerings (IPOs) by "Restricted Persons" and their immediate family members -Most individuals and firms in the securities business are considered restricted persons. Individuals with the power to control portfolio in...
Rule 5130 Rule 5131 Rule 5141 Lesson Summary Register to view this lesson Are you a student or a teacher? Series 7 Study Guide and Exam Prep 29chapters |284lessons Ch 3.New Issue Regulations in the Securities Industry Regulation D Offerings: Definition & Regulations ...