SR-FINRA-2014-009

Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions) to Provide FINRA with General Exemptive Authority

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 5131 (New Issue Allocations and Distributions) to provide FINRA with general exemptive authority under the rule.

DateTitleFormat - SizeStatus
2/14/2014Text of Proposed Rule ChangePDF - 68.9 KB
3/5/2014Notice of Filing and Immediate EffectivenessPDF - 200.54 KB