Series 24: 4.2.5.3. Selling Securities Before The Security Opens For Trading

Taken from our Series 24 Online Guide

4.2.5.3. Selling Securities Before the Security Opens for Trading

FINRA Rule 6130 prohibits a member or associated person from executing a transaction in an IPO security before the security opens for trading on the exchange. In other words, sales of the security cannot be executed until the security opens for trading.

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