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.
|Date||Title||Format - Size||Status|
|1/9/2014||Text of Proposed Rule Change||PDF - 102.91 KB|
|1/9/2014||Federal Register Notice||PDF - 203.64 KB|
|1/9/2014||Notice of Designation of a Longer Period for Commission Action||PDF - 196.09 KB|
|4/16/2014||Response to Comments||PDF - 236.83 KB|
|5/1/2014||Approval Order||PDF - 203.91 KB|