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Initial Public Offering (IPO) Interpretive Letters

A&O Shearman

Family Offices Included as ‘Investment Advisers’ Under IPO Allocation Rule 5131(b)

A&O Shearman on

On May 9, 2017, the Financial Industry Regulatory Authority, Inc. (“FINRA”) issued an interpretive letter (the “Letter”) regarding its IPO allocation rule 5131(b) and its exception 5131.02(b) (the “IPO Allocation Rule”, or...more

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