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Carson

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tT
发表于 2013-4-8 10:25 | 只看该作者

Ethics - Schweser Volume 1 - Page 43 - Example 3

his, allocated, original, member, should
The answer says: The member should not take any shares of a hot IPO for himself and distribute his allocated shares to all clients in proportion to their original order amounts.
So - when can a member participate in an IPO? Or keep some shares for himself?

 

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dece2011

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发表于 2013-4-8 10:26 | 只看该作者
If the issue isn’t oversubscribed and gets the proper approval and makes the proper disclosures, then he can participate.

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