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Open Categories Menu Full Text of FINRA Rule 5131 The following is the full version of FINRA Rule 5131 effective as of September 26, 2011. This rule, in conjunction with FINRA Rule 5130, governs the manner in which investors may participate in New Issues. Specifically, Rule 5131 prevents “spinning” which is the practice [...]
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Posts Tagged ‘ new issues ’
15 December
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Laws
Hedge Fund “New Issue” Rule Changes
Minor Modifications to “New Issues” Rule Approved; New FINRA Rule 5130 FINRA (formerly the NASD) has been reworking a new rulebook which means that many rules have been modified and renumbered. At least one important hedge fund rule has been renumbered. The “new issue” rule, which affects hedge funds and [...]
