Sacks, Russell; Blankenship, Michael; Blau, Steven - In: Journal of Investment Compliance 12 (2011) 1, pp. 35-40
Purpose – The purpose of this paper is to describe the Financial Industry Regulatory Authority's new rule for IPO allocation and the requirements for compliance with the rule. Design/methodology/approach – The paper provides an overview of the new FINRA Rule 5131, containing, among other...