EFTA00314334Set 9
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whole or in part, from receiving allocations
of "new issues" based on FINRA Rule 5131 ("FINRA Rule
5131"). FINRA Rule 5131 restricts FINRA members (i.e.
broker-dealers) from allocating ... retain the FINRA member
for the performance of future investment banking services.
However, FINRA Rule 5131 provides a de minimis exception
and expressly permits allocation of new issues ... Capital Account
from participating in new issues so as to comply with FINRA
Rule 5131.
Valuation In general, the Partnership's net asset value is equal to the
Partnership
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EFTA00314427Set 9
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deemed a new issue restricted person.
(Initial)
(ii) New Issue Eligibilityfor Purposes of FINRA Rule 5131 (the Spinning Prohibition)
S-17
4810-9064-3536 v.5
EFTA00314443
To enable the Partnership ... director of a public company or a "covered non-public company" under FINRA Rule 5131 as the same
may be amended, supplemented or replaced from time to time ("FINRA Rule ... 5131"). Please note that
FINRA Rule 5131 is in addition to, not instead of, existing FINRA Rule 5130 relating to new issues.
Please initial each item below as appropriate.
Restricted
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EFTA00314299Set 9
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whole or in part, from receiving allocations of "new issues" based on FINRA Rule 5131
("FINRA Rule 5131"). As such, the General Partner may, in its sole discretion (exercised
pursuant ... Capital Account from participating in new issues so as to comply with FINRA Rule 5131.
Sec. 3.12 Organizational Expenses. Organizational expenses of the Partnership
include, but are not limited
https://www.justice.gov/epstein/files/DataSet%209/EFTA00314299.pdf
EFTA01468631Set 10
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shares
in accordance with the New Issue Rule.
In addition, pursuant to FINRA Rule 5131 (the "IPO Allocation Rule"), firms
may not under certain circumstances, subject
to certain exemptions, allocate
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01468631.pdf