Regulatory Notice 12-27
FINRA Requests Comment on Proposed Amendments to FINRA Rule 5110 Regarding Deferred Compensation Arrangements in Public Offerings
Comment Period Expired: July 23, 2012
FINRA is requesting comments on proposed amendments to FINRA Rule 5110 (Corporate Financing Rule) that address current deferred compensation arrangements for financial advisory services in connection with public offerings, eliminate an anomalous filing requirement for exchange traded funds structured as statutory or grantor trusts, and make certain ministerial amendments to, among other things, reflect electronic filing requirements.
The text of the proposed rule change is set forth in Attachment A.
Questions regarding this Notice may be directed to:
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The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments.
|Comments By||Date Received|
|ALPS Distributors, Inc. (PDF 178 KB)||7/23/2012|
|SIFMA (PDF 86 KB)||7/23/2012|
|American Bar Association (PDF 73 KB)||7/30/2012|