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.
April 16, 2021
Tags: Caroline Crenshaw, Diversity & Inclusion, Elad Roisman, Hester Peirce, IAC, IPOs, IRAs, SPACs, States
The rules generally prohibit allocations to broker-dealers, investment advisers, and others that own or control, directly or indirectly, more than 10 percent of a broker-dealer.
November 25, 2019
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