Series 14: 6.1.7.5. Notification Requirements: Restricted Period Under Regulation M

Taken from our Series 14 Online Guide

6.1.7.5. Notification Requirements: Restricted Period Under Regulation M

FINRA Rule 5190 requires a manager in a distribution to notify FINRA of its intent to engage in stabilizing activities under Regulation M, which we introduced in the previous chapter. These mandatory “regulatory wires” include notice of the lead manager’s determination of the applicable restricted period for a distribution, that is, whether a one-day or fiv

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