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Keywords: Initial public offering (IPO)
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Journal Articles
Highlights of the new PRC securities law
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2021) 22 (1): 20–28.
Published: 26 November 2020
... 2020 Han Kun Law Offices. Licensed re-use rights only The Securities Law Listed companies Initial public offering (IPO) Securities trading Information disclosure Investor protection On 28 December 2019, the 15th Meeting of the Standing Committee of the 13th National People's Congress...
Journal Articles
SEC approves Nasdaq rule change to permit direct listings without an IPO
Available to PurchaseHelene R. Banks, Bradley J. Bondi, Charles A. Gilman, Elai Katz, Geoffrey E. Liebmann, Ross Sturman, Nicholas S. Millington
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2019) 20 (3): 25–27.
Published: 23 September 2019
... LLP. 2019 Cahill Gordon & Reindel LLP. Licensed re-use rights only US Securities and Exchange Commission (SEC) Nasdaq Initial public offering (IPO) Direct listing SEC Listing Rule IM-5315-1 Effective as of February 15, 2019, the U.S. Securities and Exchange Commission (SEC...
Journal Articles
SEC approves amendment to FINRA IPO allocation rule 5131, easing compliance for fund investors
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2014) 15 (1): 52–57.
Published: 27 February 2014
... Financial Industry Regulatory Authority (FINRA) Initial public offering (IPO) Spinning On November 27, 2013, the Securities and Exchange Commission approved a change to FINRA's IPO allocation rule 5131 (the “amendment” to the “rule”). The amendment allows a fund-of-funds to rely on a written...
