Proposed Rule Change Relating to Amendments to FINRA Rule 5110 (Corporate Financing Rule—Underwriting Terms and Arrangements)

Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend FINRA Rule 5110 (Corporate Financing Rule — Underwriting Terms and Arrangements) to expand the circumstances in which termination fees and rights of first refusal are permissible; exempt from the filing requirements certain collective investment vehicles that are not registered as investment companies; and make clarifying, non-substantive changes regarding documents filed through FINRA's electronic filing system.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 1.61 MB
Amendment No. 1 to Proposed Rule ChangePDF - 59.84 KB
Federal Register NoticePDF - 204.91 KB
Extension No. 1PDF - 50.69 KB
Response to CommentsPDF - 77.79 KB
Amendment No. 2 to Proposed Rule ChangePDF - 85.98 KB
Approval OrderPDF - 180.37 KB