用Quizlet學習並牢記包含FINRA Rule 5130 covers the restriction on、According to FINRA Rule 5130, Restricted person means:、Restrictions on Sales-- a member or person associate with a member:等詞語及更多內容的單詞卡。
Family offices and family investment vehicles.The definition of "Restricted Persons" in FINRA Rule 5130 includes "portfolio managers," but not portfolio managers that are advisers to family investment vehicles. A "portfolio manager" is defined as any person (or certain of their immediate family memb...
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...