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Morgan Lewis Hedge Fund University™: FINRA Rules 5130 and 5131

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Thursday, February 13, 2020
12:00 PM - 01:00 PM ET
11:00 AM - 12:00 PM CT
09:00 AM - 10:00 AM PT

Join us for a focused discussion of the amendments to Rules 5130 and 5131 pertaining to allocations of new issues by the Financial Industry Regulatory Authority (FINRA), effective January 1, 2020.

TOPICS WILL INCLUDE:

  • Overview of the amendments to both rules, including new general exemptions and specific exclusions
  • Updating relevant documents, in particular broker-dealer and investment adviser account documents, fund subscription documents
  • Next steps

Questions?

Please contact Bernice Kyereme.

CLE credit: CLE credit in CA, FL, IL, OH, OR, NJ (via reciprocity), NY, PA, TX and VA is currently pending approval.