What if I work for or am affiliated with FINRA or a financial institution?
If you have, or a related person has, an affiliation with a FINRA member firm, a broker dealer, a bank, or other financial services company, you will likely not be able to participate if the offering is an IPO. If you aren’t sure whether this statement applies to you, view a more complete description here. Please contact us immediately if you think this applies to you.
If you or your affiliate works at a financial institution, but the above description doesn’t apply to you, the compliance department at that institution will need to send us an approval letter.