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FINRA Rule Changes Open Door to Private Funds, Regulatory Compliance Watch

November 21, 2019

Morgan Lewis partner Amy Kroll discussed FINRA’s recent changes to Rules 5130 and 5131 with Regulatory Compliance Watch. “I do think this is an opportunity,” Amy said. “There obviously are always tweaks that everybody might want to have seen from the most recent iteration of the rule to this, but it modernizes these rules, recognizing the scope of investors that shouldn’t be precluded from receiving these allocations.” 

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