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Regulatory Release

Notice of Filing of 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 (New Issue Allocations and Distributions)

Details

Rule Type

Notice

Release Number

34-102723

SEC Issue Date

March 25, 2025 | 5:25 pm ET

Resources

34-102723

SRO Organization

Financial Industry Regulatory Authority (FINRA)

Last Reviewed or Updated: March 25, 2025

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing of 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 (New Issue Allocations and Distributions)

Details

Resources

More in this Section

Notice of Filing of 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 (New Issue Allocations and Distributions)

Details

Resources