Form 5130-2025

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The document is a certificate related to FINRA Rule 5130, which governs the sale of initial public offerings (IPOs) of equity securities. It outlines the restrictions on selling new issues to accounts with beneficial interests held by restricted persons, unless certain exemptions apply. The certificate requires clients to certify their account's eligibility for purchasing IPO shares and includes definitions and examples of restricted persons and general exemptions.

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What is considered an immediate family member for FINRA?

The term immediate family means parents, grandparents, mother-in-law or father-in-law, spouse or domestic partner, brother or sister, brother-in-law or sister-in-law, son-in law or daughter-in-law, children, grandchildren, cousin, aunt or uncle, or niece or nephew, and any other person who resides in the same

What is the purpose of the FINRA rule 5130?

FINRA Rule 5130 is designed to regulate the allocation and purchase of initial public offerings (IPOs), ensuring that the investing public has a fair opportunity to participate in these offerings. This rule restricts certain industry insiders and related parties from unfairly benefiting from IPO allocations.

Which of the following are defined as immediate family for purposes of FINRA rule 5130 on IPO distributions?

(5) Immediate family member means a persons parents, mother-in-law or father-in-law, spouse, brother or sister, brother-in-law or sister-in-law, son-in-law or daughter-in-law, and children, and any other individual to whom the person provides material support.

What is 5131?

The Rule 5131 Prohibition Rule 5131 will prohibit the allocation of new issues to executive officers and directors at certain types of companies for whom the FINRA member provides, or will provide, investment banking services.

What is a new issue as defined in rules 5130 and 5131 of the financial industry regulatory authority FINRA?

FINRA Rule 5130(i)(9), which is referenced in the definitions of FINRA Rule 5131, defines new issue to mean any initial public offering of an equity security as defined in Section 3(a)(11) of the Exchange Act, made pursuant to a registration statement or offering circular, with enumerated exceptions, and does not

5130 form

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What are the exemptions under FINRA rule 5130?

Rule 5130 provides exemptions that allow certain restricted persons to participate in IPOs under limited circumstances. These include: The de minimis exemption, allowing accounts where restricted persons hold less than 10% of beneficial ownership to purchase new issues.

What is the Regulation 5131?

New Issue Allocations and Distributions. No member or person associated with a member may offer or threaten to withhold shares it allocates of a new issue as consideration or inducement for the receipt of compensation that is excessive in relation to the services provided by the member.