FINRA proposed a rule change to exempt certain BDCs from FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and from FINRA Rule 5131 (New Issue Allocations... Read more »
FINRA adopted final rules, referred to as the Securities Lending and Transparency Engine (SLATE), establishing reporting requirements for covered securities loans and providing for the public dissemination of certain securities loan data... Read more »