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Dec 06, 2013

SEC Approves Amendment to FINRA IPO Allocation Rule 5131, Easing Compliance for Fund Investors

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On November 27, 2013, the Securities and Exchange Commission approved a change (the “Amendment”) to FINRA’s IPO allocation rule 5131. The Amendment allows a fund of funds to rely on a written representation from an unaffiliated private fund that does not look through to its beneficial owners, provided that the unaffiliated private fund meets certain other indicia of independence that are described in this publication.

View full memo, SEC Approves Amendment to FINRA IPO Allocation Rule 5131, Easing Compliance for Fund Investors

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