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...
The rule provides, in pertinent part, that “[a] member or a person associated with a member may not sell, or cause to be sold, a new issue to any account in which a restricted person has a beneficial interest, except as otherwise permitted herein.” Rule 5130(c)(4) provides an ...
Statement of the Terms of Substance of the Proposed Rule Change FINRA is proposing to adopt NASD Rule 2790 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) (“Rule”) as FINRA Rule 5130 in the consolidated FINRA rulebook, with only minor changes. The text of the ...