Webinars

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

Watch the presentation >> | View the slides >>

2020年2月13日

12:00 午後 - 01:00 午後 Eastern Standard Time

11:00 午前 - 12:00 午後 Central Standard Time

09:00 午前 - 10:00 午前 Pacific Standard Time

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.