finra
Every record this desk has filed under finra, newest first, each with the number of sources it can still show you.
The SEC has proposed a wider door to private markets. Before you buy in, count the boxes the shares are packed in
On September 30 the SEC proposed ways to bring private-market strategies to everyday investors through regulated funds. The same day, in a separate action, it sued an adviser it says sold nearly 100 investors interests in funds meant to hold SpaceX and other pre-IPO shares and, in one case, told investors a deal had closed after the transfer was refused. The documents in the two actions do not mention each other. Read together, they show what to ask before buying any piece of a private company: what you own, whether the transfer happened, how you get out, and how the manager is paid.
Also filed underprivate-marketsinvestor-protectionsecpre-ipo
A record appears here because it carries finra in its own frontmatter. If a record you expected is missing, it was filed under a different subject — the full list is on the topics index.