Jose Gerez

Jose Gerez

Eversheds Sutherland (US) LLP

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FINRA proposes changes to Rules 5130 and 5131, exempting non-traded BDCs from restrictions on participating in IPOs

On March 20, 2025, the Financial Industry Regulatory Authority, Inc. (FINRA) filed a proposed rule change with the US Securities and Exchange Commission (SEC) to exempt certain business development companies (BDCs) from FINRA...more

5/5/2025  /  Broker-Dealer , Exemptions , Financial Industry Regulatory Authority (FINRA) , Initial Public Offering (IPO) , Investment Funds , Proposed Rules , Regulatory Requirements , Securities and Exchange Commission (SEC) , Securities Regulation
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