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A broker dealer or registered rep (could / could not) invest in an IPO if they were already an investor in the company prior to the IPO and wanted to avoid getting diluted. This is an exception to FINRA Rule 5130.

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1. A broker dealer or registered rep (could / could not) invest in an IPO if they were already an investor in the company prior to the IPO and wanted to avoid getting diluted. This is an exception to FINRA Rule 5130.





 
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