Epstein Files Search

EFTA00314427Set 9

53p17,554w

EFTA00314440 (D) Participation in New Issues: New Issue Eligibility Questionnairefor purposes of FINRA Rule 5130 The Partnership from time to time may consider investing in new issues, as defined ... Financial Industry Regulatory Authority ("FINRA") Rule 5130, as the same may be amended, supplemented or replaced from time to time ("FINRA Rule 5130") as set forth in the Offering Memorandum ... determine an Investor's eligibility to participate in new issues (as defined in FINRA Rule 5130), the Investor should complete the following questionnaire. Ultimately, it is the decision

https://www.justice.gov/epstein/files/DataSet%209/EFTA00314427.pdf

EFTA00314334Set 9

93p50,036w

indirectly invest in "new issues" (generally defined in Financial Industry Regulatory Authority ("FINRA") Rule 5130, as the same may be amended, supplemented or replaced from time to time ("FINRA Rule ... invests in "new issues," Partners who are "restricted persons" within the meaning of FINRA Rule 5130 may be prohibited from participating in such "new issues" in whole or in part ... Capital Account from participating in "new issues" so as to comply with FINRA Rule 5130. 4817-3945-5313 v.7 XiV EFTA00314347 Anti-Spinning. Notwithstanding the foregoing, the Partnership

https://www.justice.gov/epstein/files/DataSet%209/EFTA00314334.pdf

EFTA00314720Set 9

2011-12-0952p22,707w

indirectly, in new issues' as defined in the Financial Industry Regulatory Authority ("FINRA") Rule 5130 ("Rule 5130"). Rule 5130 generally prohibits a FINRA member from selling a new issue

https://www.justice.gov/epstein/files/DataSet%209/EFTA00314720.pdf

EFTA01144994Set 9

2011-12-0952p22,723w

indirectly, in new issues' as defined in the Financial Industry Regulatory Authority ("FINRA") Rule 5130 ("Rule 5130"). Rule 5130 generally prohibits a FINRA member from selling a new issue

https://www.justice.gov/epstein/files/DataSet%209/EFTA01144994.pdf

EFTA01384722Set 10

1p518w

from time to time may invest in a "new issue", as defined in FINRA Rule 5130 ("Rule 5130"). Rule 5130 generally prohibits a FINRA member from selling a new issue

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01384722.pdf

EFTA00314299Set 9

2016-11-1435p18,312w

indirectly invest in "new issues" (generally defined in Financial Industry Regulatory Authority ("FINRA") Rule 5130, as the same may be amended, supplemented or replaced from time to time ("FINRA Rule ... invests in "new issues," Partners who are "restricted persons" within the meaning of FINRA Rule 5130 may be prohibited from participating in such "new issues" in whole or in part ... Capital Account from participating in "new issues" so as to comply with FINRA Rule 5130. (b) Notwithstanding the foregoing, the Partnership may be prohibited, in whole or in part, from

https://www.justice.gov/epstein/files/DataSet%209/EFTA00314299.pdf

EFTA00314773Set 9

70p29,088w

equity securities and other securities specified in the U.S. Financial Industry Regulatory Authority ("FINRA") Rule 5130, as applicable ("New Issues"). In order to enable the General Partner to determine whether

https://www.justice.gov/epstein/files/DataSet%209/EFTA00314773.pdf

EFTA00590500Set 9

70p29,073w

equity securities and other securities specified in the U.S. Financial Industry Regulatory Authority ("FINRA") Rule 5130, as applicable ("New Issues"). In order to enable the General Partner to determine whether

https://www.justice.gov/epstein/files/DataSet%209/EFTA00590500.pdf

EFTA00236102Set 9

2p1,490w

defined on the back of this form. 1. Financial Industry Regulatory Authority (FINRA) Rule 5130 - Restrictions on the Purchase and Sale of IPO Equity Securities by Securities Industry Professionals Restricted ... Persons: FINRA Rule 5130 generally prohibits a broker dealer from selling an IPO to any account in which a restricted person has a beneficial interest, unless the restricted person ... year or in two of the last three fiscal years. support Exemptions from FINRA Rules 5130 and 5131 1. Small Ownership Amount. The heftekithatattSIS of: 6 Non-U.S. Mutual

https://www.justice.gov/epstein/files/DataSet%209/EFTA00236102.pdf

EFTA00806036Set 9

2018-02-0629p11,144w

meaning of the rules of the Financial Industry Regulatory Authority ("FINRA") (including FINRA Rules 5130 and 5131), the Investor agrees to timely provide to the General Partner upon request such ... Interest being treated as held by a "restricted person" for purposes of FINRA Rule 5130, or as a person or account prohibited from receiving an allocation of shares

https://www.justice.gov/epstein/files/DataSet%209/EFTA00806036.pdf

EFTA00806065Set 9

2018-04-0829p11,132w

meaning of the rules of the Financial Industry Regulatory Authority ("FINRA") (including FINRA Rules 5130 and 5131), the Investor agrees to timely provide to the General Partner upon request such ... Interest being treated as held by a "restricted person" for purposes of FINRA Rule 5130, or as a person or account prohibited from receiving an allocation of shares

https://www.justice.gov/epstein/files/DataSet%209/EFTA00806065.pdf

EFTA01468631Set 10

7p2,119w

Certificate for the Purchase of Initial Public Offerings of Equity Securities Pursuant to FINRA Rule 5130 (formerly NASD Rule 2790) (the "New Issue Rule"), firms may not sell or cause

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01468631.pdf

EFTA02713672Set 11

2012-12-1127p8,550w

other individual to whom the person provides "material support" (as defined in FINRA Rule 5130);' (ii) A. A person who acts as a finder in respect to public offerings

https://www.justice.gov/epstein/files/DataSet%2011/EFTA02713672.pdf

EFTA01197222Set 9

2012-12-1127p8,568w

other individual to whom the person provides "material support" (as defined in FINRA Rule 5130);' (ii) A. A person who acts as a finder in respect to public offerings

https://www.justice.gov/epstein/files/DataSet%209/EFTA01197222.pdf

EFTA01585367Set 10

1p620w

agora S Melded please ate on method nom and check Nee 2 D. FINRA Rule 5130 Now Issues Certification FINM Rule 5130 fornirtv NASD

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01585367.pdf

EFTA01374122Set 10

2006-04-011p647w

Class A and B Shares (which are available to investors based on their FINRA Rule 5130 and 5131 status relating to new issues) distinguished by the following different management fees ... Class A and B Shares (which are available to investors based on their FINRA Rule 5130 and 5131 status relating to new issues) distinguished by different management fees and liquidity

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01374122.pdf

EFTA01419618Set 10

2016-03-2843p10,350w

Class A and B Shares (which are available to investors based on their FINRA Rule 5130 and 5131 status relating to new issues) distinguished by the following different management fees ... Class A and B Shares (which are available to investors based on their FINRA Rule 5130 and 5131 status relating to new issues) distinguished by different management fees and liquidity

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01419618.pdf

EFTA01386232Set 10

1p699w

Limited Partner is eligible to participate in New Issues. in accordance with FINRA Rule 5130, and (ii) the box next to the applicable category under Part A of Item

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01386232.pdf

EFTA01374143Set 10

1p554w

Limited Partner is eligible to participate in New Issues in accordance with FINRA Rule 5130. Check this box if you are an entity that does not permit Restricted Persons

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01374143.pdf