Pre-IPO Selling Procedures Need to Be Adequately Supervised, According to FINRA
By EsqSocial Corporation 09/05/14
Broker-dealers selling interests in IPOs need to have adequate supervisory systems to ensure that registered representatives do not make actual sales before the securities are registered, according to a settlement of a formal disciplinary proceeding...
By: Morrison & Foerster LLP - Broker-Dealer