May foreign benefits plans invest in new issues under FINRA Rules 5130 and 5131Financial industry regulatory authorityNew issuesBenefits plansUnited States of AmericaFinancial managementPurpose – The purpose of this article is to analyze whether and how employee benefits plans established in foreign ...
Amendments to FINRA Rules 5130 and 5131, which govern the offer and sale of "New Issue" securities went into effect on January 1. FINRA Rule 5130 prohibits a broker-dealer from selling New Issues to accounts in which "Restricted Persons" have a beneficial interest. ...
Compliance with FINRA Rules. The Company hereby agrees that it will ensure that the Reserved Securities will be restricted as required by FINRA or the FINRA rules from sale, transfer, assignment, pled...
The Financial Industry Regulatory Authority (FINRA) makes rules concerning broker-dealer behavior. This lesson discusses rules pertaining to the...