Proposed Rule Change to Amend FINRA’s Corporate Financing Rules to Simplify and Refine the Scope of the Rules

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.

DateTitleFormat - SizeStatus
1/9/2014Text of Proposed Rule ChangePDF - 102.91 KB
1/9/2014Federal Register NoticePDF - 203.64 KB
1/9/2014Notice of Designation of a Longer Period for Commission ActionPDF - 196.09 KB
4/16/2014Response to CommentsPDF - 236.83 KB
5/1/2014Approval OrderPDF - 203.91 KB