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Exemptions › Regulatory Requirements › Initial Public Offering (IPO)

Eversheds Sutherland (US) LLP

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

Eversheds Sutherland (US) LLP on

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

Bennett Jones LLP

Canadian Securities Regulators Take Further Incremental Steps to Promote Access to Capital Markets

Bennett Jones LLP on

Against the current backdrop of global market uncertainty, on April 17, 2025, the Canadian Securities Administrators (CSA) announced new incremental measures aimed at reducing regulatory burden for reporting issuers,...more

Mayer Brown Free Writings + Perspectives

FINRA Proposes to Exempt BDCs from its IPO Purchase Restriction Rules

Mayer Brown Free Writings + Perspectives on

On March 20, 2025, the Financial Industry Regulatory Authority (FINRA) proposed amendments to its rules imposing restrictions on the purchase and sale of equity securities offered in initial public offerings (IPOs) (Rule...more

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