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SEC Approves FINRA Rule 5131 Prohibiting Certain IPO Abuses By Broker-Dealers
Practical Law Legal Update 3-503-5639 (Approx. 5 pages)
SEC Approves FINRA Rule 5131 Prohibiting Certain IPO Abuses By Broker-Dealers
by PLC Corporate & Securities
| Published on 08 Oct 2010 • USA (National/Federal) |
An update on the SEC's approval of FINRA Rule 5131 prohibiting certain abuses in the allocation and distribution of shares in initial public offerings.