On August 19, MFA submitted a comment letter to FINRA on Rule 5131, New Issue Allocations and Distributions. In the […]
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Issues & Policy 
Comment Letter on FINRA Rule 5131, New Issue Allocations and Distributions08.19.11
On August 19, MFA submitted a comment letter to FINRA on Rule 5131, New Issue Allocations and Distributions. In the […]
Topics: New Issue Allocations and Distributions spinning, quid pro quo, initial public offering process, conflicts of interest, FINRA, IPO, anti-spinning, de minimis exemption, ownership interest, pooled investment vehicle, funds of hedge funds, profit, loss allocation, covered employees, unaffiliated pooled vehicles, investor privacy, confidentiality,