SR-FINRA-2014-004

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.

DateTitleFormat - SizeStatus
1/24/2014Text of Proposed Rule ChangePDF - 1.61 MB
2/4/2014Amendment No. 1 to Proposed Rule ChangePDF - 59.84 KB
2/12/2014Federal Register NoticePDF - 204.91 KB
3/19/2014Extension No. 1PDF - 50.69 KB
3/31/2014Response to CommentsPDF - 77.79 KB
3/31/2014Amendment No. 2 to Proposed Rule ChangePDF - 85.98 KB
5/14/2014Approval OrderPDF - 180.37 KB