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Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Exempt Certain Business Development Companies from FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131...

34-103033.pdf (121.92 KB)

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Enforcement & Litigation

Compliance

Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Exempt Certain Business Development Companies from FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131...

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Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Exempt Certain Business Development Companies from FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131...