Tag: IPOs
SEC IAC Focuses on Minority and Underserved Inclusion, Discusses Self-Directed IRAs, SPACs
The SEC’s Investor Advisory Committee’s (IAC’s) March meeting issued draft recommendations on minority and underserved inclusion in investment and financial services, calling on the SEC to “play an active role...
April 16, 2021
Tags: Caroline Crenshaw, Diversity & Inclusion, Elad Roisman, Hester Peirce, IAC, IPOs, IRAs, SPACs, States
The SEC has approved amendments to FINRA Rules 5130 and 5131, which contain restrictions on participating in and allocating shares of initial public offerings. In order to promote fairness in...
November 25, 2019
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