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IPOs (9)
Your search for IPOs returned 9 results.
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6/21/2017 | Content area: Investment Adviser
To explore whether there is a link between the shift to institutional investing and the decrease in IPO activity, I have begun to ask asset managers a...
5/10/2017 | Content area: Investment Adviser
In addition, an active IPO market can enhance efficient decision-making among suppliers of capital. The robust disclosures generated by newly public ...
12/11/2014 | Content area: Broker-Dealer
FINRA has sent a strong message that it’s committed to enforcing its research analyst conflict of interest rules. The SRO has fined 10 firms for cross...
1/13/2014 | Content area: Broker-Dealer
You'll find new focus areas - e.g., general solicitation, IPOs and crowdfunding - sprinkled among perennial items in the latest version of FINRA's ann...
9/23/2013 | Content area: Investment Adviser
The one-two punch from the SEC last week came in the form of a new risk alert from OCIE on complying with Rule 105 and the Enforcement Division announ...
9/09/2011 | Content area: Investment Adviser
A peer shares the firm's language added to its subscription documents to alert clients of the need to obtain certain representations to help brokers c...
4/07/2005 | Content area: Investment Adviser
12/09/1999 | Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-42209; File No. S7-29-99]RIN 3235-AH85UNLISTED TRADING PRIVILEGESAGENCY:Securities an...
2/02/1995 | Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240 and 249Release No. 34-35323; File No. S7-4-95RIN 3235-AG28Unlisted Trading PrivilegesAGENCY:Securit...


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