""New Issue Rule"" — Epstein Files Search

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4 results for “"New Issue Rule"”

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EFTA01468631Dataset 10

…act as a finder or in a fiduciary capacity to any managing underwriter of any new issue and that you shall notify us immediately in the event that such representation ceases to be true and correct. All bolded terms relating to the New Issue Rule or the IPO Allocation Rule are defined in Annex A. Please check one box from section "A" and one box from section "B," and complete the account information below. The undersigned hereby certifies that with…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01468631.pdf

EFTA01454022Dataset 10

…Code; provided that the plan is not sponsored solely by a broker-dealer. 8. A state or municipal government benefits plan that is subject to state or municipal regulation. 9. A tax-exempt charitable organization under Section 501(c)(3) of the Internal Revenue Code. 10. A church plan under Section 414(e) of the Internal Revenue Code. Restricted Persons/Entities under the New Issue Rule: 1. A FINRA member firm or other broker-dealer. 2. An officer, director, general…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01454022.pdf

EFTA01454079Dataset 10

…a person specified in items 5.6 that is an owner of the FINRA member or its affiliate selling the new issue to the immediate family member, or that has an ability to control the allocation of the new issue. Other New Issue Rule and IPO Allocation Rule Definitions: Associated person or employee of a FINRA member firm.(I) Any natural person registered with FINRA and (2) any natural person, whether or not registered or exempt from registration with FINRA…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01454079.pdf

EFTA01454023Dataset 10

…of the new issue; or (iii) a person specified in items 5.6 that is an owner of the FINRA member or its affiliate selling the new issue to the immediate family member, or that has an ability to control the allocation of the new issue. Other New Issue Rule and IPO Allocation Rule Definitions: Associated person or employee of a FINRA member firm. (I) Any natural person registered with FINRA and (2) any natural person, whether or not registered…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01454023.pdf

Corpus: 1990-03-17 – 2025-12-01

December 2025

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Set 10

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