Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend FINRA Rules 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) and 5121 (Public Offerings of Securities with Conflicts of Interest) to simplify and refine the scope of the rules.
|Text of Proposed Rule Change||(PDF 103 KB)|
|Federal Register Notice||(PDF 204 KB)|
|Notice of Designation of a Longer Period for Commission Action||(PDF 197 KB)|
|Response to Comments||(PDF 237 KB)|
|Approval Order||(PDF 204 KB)|