FINRA Rule 5131 Archives - Master Compliance

17 10, 2023

Initial Public Offerings and New Issues
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Initial Public Offerings and New Issues
Broker-Dealer, Broker-Dealer Ownership, FINRA, Rules and Regulations

Initial Public Offerings and New Issues

By admin|2023-10-17T14:50:59-04:00October 17, 2023|Broker-Dealer, Broker-Dealer Ownership, FINRA, Rules and Regulations|

Trust and transparency are the cornerstones of the financial industry. [...]

7 01, 2022

Spinning
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Spinning
Broker-Dealer, FINRA, Rules and Regulations

Spinning

By admin|2022-01-07T14:11:57-05:00January 7, 2022|Broker-Dealer, FINRA, Rules and Regulations|

Spinning is the practice of allocating highly sought-after IPO shares, [...]